ML20211G762
| ML20211G762 | |
| Person / Time | |
|---|---|
| Issue date: | 09/29/1997 |
| From: | Kalmbach R, Mace M NRC OFFICE OF ADMINISTRATION (ADM), SOUTHWEST RESEARCH INSTITUTE |
| To: | |
| References | |
| CON-FIN-J-5182, CON-NRC-02-97-008, CON-NRC-2-97-8 NUDOCS 9710030231 | |
| Download: ML20211G762 (106) | |
Text
hbD AWARD / CONTRACT Page 1 of 2
- 1. THIS CONTRACT IS A RATED ORDER UNDER DPAS (15 CFR 700)
RATING 2.
CONTRACT NO.
3.
EFFECTIVE DATE 4.
REQUISITION / PROJECT NO.
NRC-02-97-008 ggs 2 9 $9L NMS-97-008 FFS# 5097R074 5.
ISSUdD BY Code:
- 6. ADMINISTERED BY Codes (If other than Item 5)
U.S. Nuclear Regulatory Commission See Blk. 5 l
Mail Stop T712 Contract Management Branch 1 Washington, DC 20555 7
NAME AND ADDRESS OF CONTRACTOR 8.
DELIVERY Southwest Research Institute
[]
FOB ORIGIN 6220 Culebra Road (X)
OTHER (See below)
.PO Drawer 28510 San Antonio, TX 78238-5166 9.-DISCOUNT FOR PROMPT PAYMENT n/a Principal Investigator / Technical
Contact:
Wesley C.
Patrick Telephone No: 210-522-5158 10.8UBMIT INVOICES (4 copies unless otherwise specified) TO THE ADDRESS SHOWN IN ITEM: 6
- 11. SHIP TO/ MARK FOR CODE l12. PAYMENT WILL BE MADE BY CODE 13.-AUTHORITY FOR USING OTHER THAN FULL AND OPEN COMPETITION
[] 10 U.S.C. 2304 (c) ( )
(X) 41 U.S.C.
253 (c) (3)
- 14. ACCOUNTING AND APPROPRIATION DATA B&R 75060817405 JC J5182 BOC 252A Apprn. 31X0200 Obligate
$122,366 15A. ITEM 15B. SUPPLIES /
15C. QUANTITY 15D. UNIT 15E. UNIT 15F. AMOUNT NO.
SERVICES PRICE See Schedule 15G. TOTAL AMOUNT OF CONTRACT
$122,766.00 EXCEPTION TO STANDARD FORM SF26 _(REV.4-85)
Prescribed by GSA FAR (4 8_ CFR) 53. 214 (a)
!$l$l0ll5llllU
,,,,,,,Jt;g,2 ANARD, CONTRACT Page 2 a 2, age, PDR CONTR NRC-02-97-OO8-PDR
16.
TABLE OF CONTENTS X SEC'-
DESCRIPTION PAGE(S)
PART I - THE SCHEDULE A
SOLICITATION / CONTRACT FORM B
SUPPLIES OR SERVICES AND PRICES / COSTS C
DESCRIPTION / SPECIFICATIONS / WORK STATEMENT D
PACKAGING AND MARKING E
INSPECTION AND ACCEPTANCE F
DELIVERIES OR PERFORMANCE G
CONTRACT ADMINISTRATION DATA H-SPECIAL CONTRACT REQUIREMENTS CONTRACT CLAUSES PART II I
CONTRACT CLAUSES PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS J
LIST OF ATTACHMENTS PART IV - REPRESENTATIONS AND INSTRUCTIONS K
REPRESENTATIONS,-CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS L
INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS M
EVALUATION FACTORS FOR AWARD CONTRACTING OFFICER WILL COMPLETE ITEN 17 OR 18 AS APPLICABLE
- l. ) CONTRACTOR'S NEGOTIATED AGREEMENT (Contractor is required to sign 17.
X this document and return 2 copies to issuing office.) Contractor agrees to furnish and deliver all items or perform all the services set forth or otherwise identified above and on any continuation sheets for the consideration stated herein.
The rights and obligations of the parties to this contract shall be subject to and governed by the following documents: (a) this award / contract, (b) the solicitation, if any, and (c) such provisions, representations, certifications, and specifications, as are attached or l
incorporated by reference herein.
(Attachments are listed herein.)
18.
[ ] AWARD (Contractor is not required to sign this document.) Your offer on Solicitation Number including the additions or changes made by you which additions or changes are set forth in full above, is hereby accepted as.to the itcms listed above-and on any continuation sheets. This award consummates the contract which consists of the following documents: (a) the Government's solicitation and your offet, and (b) this award / contract. No further contractual document is necessary.
19A. NAME AND TITLE OF SIGNER 20A. NAME OF CONTRACTING OFFICER
( M e or print) s R. B. Kalmbach Mary H. Mace
?)
Director. Contracts
/
UNIJEDSTTES/QFAMERICAj ~/.
19B. N ME oF CONTRACTOR 20B.
by
>,/j by
/
// / / /
C
/
/
v (Signature of persen authorized to sign)
(Signature of Contracting Officer) 19C. DATE SIGNED 20C. DATE SIGNED / - /v /
September 29. 1997
/~
'A
/
EXCEPTION TO STANDAnD FORM 26 (REV.4-85)
TABLE OF CONTENTS PAGE AWARD / CONTRACT I
PART I - THE SCHEDULE.
3 l
SECTION B - SUPPLIES OR SERVICES AND PRICES / COSTS 3
-B.1 PROJECT TITLE 3
I B.2 BRIEF DESCRIPTION OF WORK (MAR 1987) 3 B.3 CONSIDERATION AND OBLIGATION--COST PLUS FIXED FEE 3
(MR4 1988 )
SECTION C - DESCRIPTION / SPECIFICATIONS / WORK STATEMENT.
4 C.1 NRCAR 2052.215-83 TRAVEL APPROVALS (JAN 1993) 9 SECTION D - PACKAGING AND MARKING.
10 D.1 PACKAGING AND MARKING (MAR 1987) 10 SECTION E - INSPECTION AND ACCEPTANCE 11 E.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988) 11 E.2 PLACE OF INSPECTION AND ACCEPTANCE (MAR 1987) 11 SECTION F - DELIVERIES OR PERFORMANCE 12 F.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988) 12 F.2 NRCAR 2052.212-70 PREPARATION OF TECHNICAL,
12 REPORTS (JAN 1993)
F.3 NRCAR 2052.212-71 TECHNICAL PROGRESS REPORT 12 F.4 2052.212-72 FINANCIAL STATUS REPORT (DEC 1995) 13 F.5 PLACE OF DELIVERY--REPORTS (JUN 1988) 15 F.6 DURATION OF CONTRACT PERIOD (MAR 1987) 15 F.7 RESOLVING NRC CONTRACTOR DIFFERING PROFESSIONAL 15 VIEWS (DPVs)
SECTION G - CONTRACT ADMINISTRATION DATA 17 G1 NRCAR 2052.215-71 PROJECT OFFICER AUTHORITY 17 (JAN 1993)
G2 NRCAR 2052.215-82 TRAVEL REIMBURSEMENT 19
- ALTERNATE 1 (JAN 1993)
G.3 NRCAR 2052.216-71 INDIRECT COST RATES (JAN 1993) 20 G.4 USE OF AUTOMATED CLEARING HOUSE (ACH) 20 ELECTRONIC PAYMENT SECTION H - 3PECIAL CONTRACT REQUIREMENTS 22 lH.1 NRCAR 2052.209-73 CONTRACTOR ORGANIZATIONAL 22 CONFLICTS OF INTEREST (JAN 1993)
H.2 NRCAR 2052.215-70 KEY PERSONNEL (JM1 1993 )
26 H.3 NRCAR 2052.235-70 PUBLICATION OF RESEARCH RESULTS (JAN 27 H.4 NRCAR 2052.235-72 SAFETY, HEALTH, AND FIRE 27 PROTECTION (JAN 1993)
H.5 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY - NONE PROVIDED 28 (JUN 1988) i
TABLE OF CONTENTS PAGE PART II - CONTRACT CLAUSES 29 i
SECTION I - CONTRACT CLAUSES 29 I.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988) 29 I.2 52.216-7 ALLOWABLE COST AND PAYMENT (MAR 1997) 30 I.3 52.222-2 PAYMENT FOR OVERTIME PREMIUMS (JUL 1990) 35 I.4 52.242-4 CERTIFICATION OF INDIRECT COSTS (OCT 1995) 36 PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS 38 SECTION J - LIST OF ATTACHMENTS 38 J.1 ATTACHMENTS (MAR 1987) 38 i
4 4
l 11
J NRC-02-97-008 Section B I
i 4
l PART I - THE SCHEDULE 4
l l
SECTION B - SUPPLIES OR SERVICES AND PRICES / COSTS-l 5.1 PROJECT TITLE i
The title of this project is as follows:
i
]'
Technical assistance for savannah River site high-level l
waste tank closure Classification of Residual Waste as j
" Incidental" (End of Clause)
R.2 BRIEF DESCRIPTION OF WORK (MAR 1987)
The contractor shall support the NRC's review (
the DOE's waste classification metaodology and to support an analysis of the applicable guidance, with modification as appropriate (End of Clause) 5.3 CONSIDERATION AND OBLIGATION--COST PLUS FIXED FRE (JUN 1988)
(a) The total estimated cost to the Government for full performance of this contract is $122,366.00,- of which the sum of $113,582.00 represents the estimated; reimbursable costs, and of which $8,784.00 represents the fixed' fee.
(b) There shall be no adjustment in the amount of the contractor's fixed fee by. reason of differences between any estimate of cost for performance of the work under this contract and-the actual cost for performance of that work.
(c) The amount obligated by the Government with respect-to this contract is $122,366.00.
(End of Clause]
Page 3 of 38
NRC-o2-97-oo8 Section C sEcTION C
- DESCRIPTION / SPECIFICATIONS / WORK STATEMENT PROJECT TITLE:
TECHNICAL ASSISTANCE ON SAVANNAH RIVER SITE HIGH LEVEL WASTE TANK CLOSURE: CLASSIFICATION Of RESIDUAL WASTE AS
" INCIDENTAL
- SwRl/CNWRA shall ensure that performance of the following work will not include the review or evaluation of any of SwRI's prior work for the Westinghouse Savannah River Company.
C.1 Backaround 1
l DOE is currently retrieving and processing defense HLW stored in 51 tanks at SRS.
DOE plans f q close the,tariks opce they are a: ratted ofThe key ksue g*.
' their contents.
4 00E effectively removes essentially all HLW from the tanks such that the residual wastes can be classified as " incidental" and, thus.- not subject to the U.S. Nuclear Regulatory Commission's licensing authority under the Energy Reorganization Act of 1974 1
DOE has requested staff review of its methodology for classifying the residual tank waste by letter dated December 20, 1996. from L. Watkins.
DOE Assistant Manager for HLW at Savannah River, to C. Paperiello.
Specifically. DOE is requesting NRC to review its general methodology for waste classification and the application of the existing criterla for the classification of " incidental" wastes. with a particular focus on the appropriateness of 10 CFR Part 61 Class C concentration limits
[ Criterion (2)] for the residual waste in the storage tanks.
DOE has determined that all 51 tanks can be closed in conformance with the NRC waste classification criteria. DOE's closure plans include the-addition of a reducing grout to the tanks to imobilize the residual wastes to the extent feasible. However, conformance with Criterion (2) will necessitate DOE's use of radionuclide " concentration averaging" (i.e.,theconcen"pionaveragedoveraportionofthe satisfy Class C limrts for most. if not all the tanks. grout) to e
Further. 00E' estimates that 37 of the 51 tanks will necessitate additional cleaning (oxalic acid washing) before grouting to satisfy Class C limits.
DOE plans to use the guidance provided in the staff's " Technical Position (TP) on Concentration Averaging and Encapsulation" (January 1995) to st.pport meeting Class C limits, in this regard DOE is requesting assistance from NRC concerning the application of guidance on concentration averaging in meeting Class C limits.
While DOE can implement a program of enhanced cleaning of the 37 tanks to satisfy Class C limits. DOE questions, in its letter, whether this action would be cost effective. DOE estimates the cost of enhanced cleaning at 800.000 dollars per tank, or roughly 30 million dollars for all 37 tanks.
DOE notes that the focus of NRC Criterion (2) in limiting concentrations of immobilized wastes to values below Part 61 Class C limits is 3rotection of individuals from inadvertent intrusion.
00E believes tlat, for several reasons individual public health and safety Page 4-of 38
NRC 0,2 97 008 Section C will be well. protected from any inadvertent int' rut
>n.
The residual radioactive material will be generally imobilizeo and distributed in a fairly narrow layer (several centimeters to about 60 centimeters) of grout over the broad area of a large diameter tank (roughly 25 meters)
Further, the narrow layer of imob1112ed waste will be topped with additional layers of protective grc + to thicknesses of 6 to 9 meters.
Lastly. the Comission's l
depending on the type and size of the tank.
I requirements in 10 CFR 61.58 recogn12e the acceptability of other provisions for the classification and characteristics of waste if, on consideration of the specific characteristics of the waste, disposal site, and method of disposal, there is reasonable assurance that the performance objectives of Part 61 will be satisfied.
DOE notes that. as part of its methodology for satisfying waste classification Criterion (3) in the March 1993 Bernero %tter, it is committed to L. leaning all tar.ks to the extent necessary to satisfy the performance objectives of Part 61 ano, thereby. )rotect puC '.c nealth and safety.
Accordingly. 00E requests that, w1ti due consideration of the planned tank closure design features (i.e., the grout) for protection against inadvertent intrusion and the comitment to meet Part 61 performance objectives for all other dose pathways of interest. NRC evaluate the acceptability of these other provisions for the classification of tank residual wastes, as provided for in Section 61.58.
C.2 Oblective The primary objective is to support the NRC's review of the DOE's waste classification methodology and to support an analysis of the applicable guidance. with modification as appropriate. A secondary objective it to gain experience through support of the NRC review in evaluating applications of the incidental waste classification criteria, as the staff anticipates the need for similar evaluations at other DOE facilities (i.e. West Valley and Hanford).
Technical assistav.e to be provided in fiscal year 1997 includes 1) rev. ewing the SRS @ nera' 9ethodolog: for incidental waste classification and associated documentation. then providing review comments to the NRC. 2) assisting in NRC's analysis of the applicable guidance to determine whether modification is appropriate. 3) reviewing DOE's application of the existing guidance on concentration averaging.
- 4) providing other technical support to the NRC as necessary.
C.3 Technical and Other Soecial Oualifications Recuired This project requires personnel with the following disciplines and qualifications:
regulatory analysis. health physics, materials engineering, nuclear criticality safety, performance assessment, chemical engineering and geochemistry.
Page 5 of 38
i NRC 02 97 008 Section C C.4 Scoce of Work Review of DOE General Methodology and Suitability of Criter1a Task 1:
The criteria for determining if waste can be classified as incidental is provided in the letter of March 1993 from R. Bernero-(NRC) to J NRC has been requested by DOE to review its general methodology for classifying ' residual tank waste as incidental. including application (00E).
00E has also l
of-the existing guidance on concentration averaging.
requested NRC to review the stated criteria-with a particular focus on the appropriateness of 10 CFR Part 61 Class C concentration limits (Criterion-(2)) for residual waste in storage tanks.
The CNWRA shall review documents pertaining"to DOE's general metho for waste classification, for example the Regulatory performance assessment Waste Tank Farms." the " Tank Closure Plan."
information, and other supporting materials.
In addition, the CNWRA shall review the incidental waste classification criteria, and in their review of DOE's application of the existing guidance on concentration The CNWRA shall participate in these reviews and present averaging.
their findings to the NRC in report format.
CNWRA shall prepare a draft report on DOE's general methodology for waste classification with respect to Bernero s letter mentioned above.
including application of guidance on concentration averaging to meet the incidental waste criteria. and potential modification of th to the NRC.
Fint,1 report to the NRC shall incorporate _NRC comments.
-C.5-Technical Reoorts Technical reports shall be edited and reviewed by the performing organization and checked in accordance with the quality assurance
-requirementsaddrrpedbelow.
Within 15 days of receipt of eacn draft task re These comments will identify preparation of the final task report.
potential problem areas. dtscrepancies, and technical insights on t The comments will be for the puroose of clarification draft report.
only and will not be canstrued as to prejudge tne performingWithin a soecifi organization's work ur technical findings.
the performing organization shall revise the draft tast report.
incorporating resolution.of comments. and submit a camera-ready co an NRC compatible, electronic media copy of the final task report, Page 6 of;38
NRC 02 97 008 Section C C.6 Deliverable / Schedule The following is a schedule for submission of the draft and final reports mentioned in Section 6 above:
Deliverable Schedule
- a. draft report 11/25/97
- b. final report 12/15/97 C.7 Meetinos and Travel Progress meetings will be held by te bphone approximately once every two weeks over the duration of the taa.
For purpose of estimation, the CNWRA should assume one two day trip of two staff to Aiken. South Carolina.
4 C.8 Technical / Pro 1ect Direction B. Jennifer Davis is designated as the NMSS Technical Monitor (TM) for the CNWRA work tasks. Mary Jo Mattia 1s designated as the NRC Project Officer (PO). Technical instructions may not constitute new assignments of work or changes of such a nature as to Justify an adjustment in cost or aeriod of performance.
The NMSS TM is responsible for providing tecinical guidance to the performing organization regarding staff interpretat1ons of the technical aspects of regulatory requirements along with copies of relevant documents (e.g. Regulatory Guides) when requested by the performing organization.
All work products must be reviewed and approved by the NMSS TM before they are submitted as final documents.
All technical direction given to the performing organization must be consistent with the work scope and schedule. The NMSS TM and P0 are not authorized to unilaterally make changes to the approved work scope or schecule or ghe the,pe-f orm;ng organization any dier'* ion that would increase costs over approveo levels.
C.9 Ouality Assuranca 9.1 For all draft and final reports delivered under this agreement, the performing organization shall assure that an independent review and verification of all numerical computations and mathematical equations and derivations are performed by qualified personnel other than the original author (s) of the reports.
If the performing organization pro >oses to verify / check.1211 than 100 percent of all computations and matlematical equations and derivations in the report (s). (such as might be the case when there are a idrge number of routine, repetitive calculations), the performing organization must first obtain written approval from the NHSS P0. Computer-generated calculations will not require verification where the computer program has already been veri fied.
The NMSS P0 has the option of auditing all documentation including project correspondence, drafts, calculations and unrefined data.
I I
NRC 02 97 008 1
f Section C 9.2 In addition, all reports. including those which do not contain numerical analyses must be reviewed by the performing organization's management and approved with two signatures, one of which is for the performing organization's management at a level above the program manager.
9.3 When rn :sions for the reports are issued. a section must be included in the revised report to document dates of, reasons for. and scope of all changes made since the issuarv' of the first performing organization's approved report.
9.4 NRC has the option of using internal or external resources to review the draft report and make changes to the final report The I
performing organization may recommend candidates for approval by the 1 MSS P0. In thE occasion of dissent in the Content of the final report.
the dissenting party will have the option of stating it.s viewpoints ana findings in a section nf the report.
C.10 NRCFurnishedMater111 4
l NRC will provide the CNWKA as appropriate copies of NRC's current l
regulations, guidance documents, and other documents identified as pertinent to performing the required work.
C.11 CNWRA Acautred Material l
No materials are expected to be acquired under this contract.
I Page 8 of 38 l
l
NRC-02-97-008 Section C C.1 NRCAR 2052.215-83 TRAVEL APPROVALS (JAN 1993)
(a) All domestic travel requires the prior approval of the project officer.
(b) All foreign travel must be approved in advance b'/ the NRC on NRC Form 445 and must be in compliance with FAR 52.24'i 61 Preference for U.S.
Flag Air Carriers.
Foreign travel approval must be communicated in writing through the contracting officer.
(End of Clause]
Page 9 of 38
NRC-02-97-008 Section D SECTION D - PACKAGING AND MARKING D.1 PACKAGING AND MARKING (MAR 1987)
The Contractor shall package material for shipment to the NRC in such a manner that will ensure acceptance by common carrier and safe delivery at destination.
Containers and closures shall comply with the Interstate Commerce Commission Regulations, Uniform Freight Classification Rules, or regulations of other carriers as applicable to the mode of transportation.
On the front of the package, the Contractor shall clearly identify the contract number under which the product is being provided.
[End of Clausel 4
Page 10 of 38
NRC-02-97-008 Section E l
SECTION E - INSPECTION AND ACCEPTANCE E.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988)
This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text.
Upon request, the Contracting Officer will make their full text available.
I.
FEDERAL ACQUISITION REGULATION (48 CFR CRAPTER 1) CLAUSES NUMBER TITLE DATE 52.246-5 INSPECTION OF SERVICES APR 1984
- COST-REIMBURSEMENT (End of Clause)
E.2 PLACE OF INSPECTION AND ACCEPTANCE (MAR 1987)
Inspection and acceptance of the deliverable items tu be-furnished hereunder shall be made by the Project Officer at the destination.
[End of Clause)
Page-11 of 38
i NRC-02-97-008 Section F SECTION F - DELIVERIES OR PERFORMANCE i
F.1 52.252 2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988)
This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text.
Upon request, the Contracting Officer will make their full text available.
I
^
I.
FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES NUMBER TITLE DATE 52.242-15 STOP-WORK ORDER AUG 1989 Alternate I (APR 1984)
^
[End of Clause]
i Fo2 NRCAR 2052.212-70 PREPARATION OF TECHNICAL j
REPORTS (JAN 1993) j All technical reports required by Section C and all Technical Progress Reports required by Section F are to be prepared in J
accordance with the attached Management Directive 3.8,
" Unclassified Contractor and Grantee Publications in the NUREG Series."
Management Directive 3.8 is not applicable to any Contractor Spending Plan (CSP) and any status report that may be included in this contract.
(See Section J for List of Attachments).
(End of Clause)
F.3 NRCAR 2052.212-71 TECHNICAL PROGRESS REPORT The contractor shall provide a periodic Technical Progress Report for each four week period to the project officer, the technical monitor, the contracting officer and the NRC CNWRA Program Manager.. ~The report is due within 15 calendar days after the end of the report period and must identify the title of the i
project, the contract number, job code number, project manager and/or principal investigator, the contract period of performance, and the period covered by the report.
Each report must include the following for each discrete task / task order (a) A listing of the efforts completed during the period, and milestones reached or, if missed, an explanation provided; (b) Any problems or delays encountered or anticipated and j-recommendations for resolution.
If the recommended resolution Page 12 of 38 j
i i
_, _ ~ ~ - -. - - - - _. - -.. _ _. - - _ -
NRC-02-97-008 Section F F.3 (Continued) involves a contract modification, e.g.,
change in work requirements, level of effort (cost) or schedule delay, the contractor shall submit a separate letter to the contracting officer identifying the required change and estimated cost impact.
<b) A summary of progress to date; and (d) Plans for the next reporting period.
[End of Clause)
F.4 2052.212-72 FINANCIAL STATUS REPORT (DEC 1995)
The contractor shall provide a periodic Financial Status Report for each four week period to the project officer, the technical monitor, the contracting officer and the NRC CNWRA Program Manager.
Also, whenever the report references the acquisition of, or changes in status of, property valued at the time of purchase at $50,000 or more, send a copy of the report to the Chief, Property Management Branch, Division of Facilities and Property Management, Office of Administration.
The report is due within is calandar days after the end of the report period and shall identify the title of the project, the contract number, job : ode, project manager and/or principal investigator, the contract period or performance, and the period covered by the report. Each report must include the following for each discrete task:
(a) Total estimated contract amount.
(b) Total funds obligated to date.
(c) Total costs incurred this reporting period.
(d) Total costs incurred to date.
(e) Detail of all direct and indirect costs incurred during the reporting period for the entire contract or each task, if it is a task ordering contract.
(f) Balance of obligations remaining.
(g) Balance of funds required to complete contract / task order.
(h) Contractor Spending Plan (CSP) status:
(1) Projected percentage of completion cumulative through the report period for the project / task order as reflected in the current CSP.
(2) Indicate if there has been a significant change in the Page 13 of 38
11RC 97 - 0 0 8 Section F l
F.4 (Continued) original CSP projection in either dollars or percentage of completion.
Identify the change, the reasons for the change, whether there is any projected overrun, and when additional funds would be required.
If there have been no changes to the original NRC-approved CSP projections, a written statement to that effect is sufficient in lieu of submitting a detailed response to item h.
(3) A revised CSP is required with the Financial Status Report whenever the contractor or the contracting officer has reason to believe that the total cost for performance of this contract.will be either greater or substantially less than what had been previously estimated.
(i) Property status:
(1) List property acquired for the project during the month with an acquisition cost of $500 or more and less than
$50,000.
Give the item number for the specific piece of equipment.
(2) List precerty acquired for the project during the period with an acquisition cost of $50,000 or more.
Provide the following information for each item of property:
item description or nomenclature, manufacturer, model number, serial number, acquisition cost, and receipt date.
If no property was acquired during the month, include a stat, ment to that effect.
U ito :
The same information shall be provided for any component or peripheral equipment which is part of a " system or system unit."
(3) For multi-year projects, in the period 13 financial status report provide a cumulative listing of property with an acquisition cost of $50,000 or more ($5,000 or more if purchased prior to October 1, 1995) showing the above information.
(4) In the final periodic status report provide a closecut property report containing the same elements as described above for the periodic financial status reports, for all property purchased with NRC funds regardless of value unless title has been vested in the contractor.
If no property was acquired under the contract, provide a statement to that effect.
The report should note any property requiring special handling for security, health, safety, or other reasons as part of the report.
(j) Travel status:
List the starting and end dates for each trip, the starting point and destination, and the traveler (s) for each trip.
Page 14 of 38
NRC-02-97-008 Sectior F F.4 (Continued)
If the data in this report indicates a need for additional funding beyond that already obligated, this information may only be used as suppert to the officiel request for funding required in accordance with the Limitation of Cost (LOC) Clause (FAR 52.232-
- 20) or the Limitation of Funds (LOF) Clause (FAR 52.232-22).
[End of Clause)
Fe5 PLAC3 OF DELIVERY--REPORTS (JUN 1988)
The items to be furnished f.ereunder shall be delivered, with all
-charges paid by the Contractor, to (a) Project Of ficer (4 copies)
Mary Jo. Mattia U.S. Nuclear Regulatory Commission Program Management, policy Development, and Analysis Staff, NMSS Washington, DC 20555 i
j (b) Contracting Officer (1 copy)
)
(End of Clause)
F.6 DURATION OF CONTRACT PERIOD (MAR 2987)
This contract shall commence on date of award and will expire j-December 15, 1997.
l
[End of Clause]
F.7 RESOLVING NRC CONTRACTOR DIFFERING PROFESSIONAL i
VIEWS-(DPVs) i
)
The Nuclear Regulation Commission's (NRC) policy is to support j
the contractor's expression of professional health and safety i
related concerns associated with the contractor's work for NRC that (1) may differ from a prevailing NRC staff view, (2) disagree l
with an NRC decision or policy position, or (3) take issue with i
proposed or established agency practices.
An occasion may arise when an NRC contractor, contractor's personnel, or subcontractor 3
personnel believes that a conscientious expression of a competent judgement is required to document such concerns on matters 1
directly_ associated with its performance of the contract.
The procedure that will be used provides for the expression and 1
resolution of differing professional views (DPVs) of health and safety related concerns associated with the mission of the agency by NRC contractors, contractor personnel or subcontractor 4
Page 15.of 38 t
.. _ __,._.._. ~
.,m.,_,-.
NRC-02-97-008 Section F F.7 (Continued) personnel on matters directly associated with its performance of the contract, may be found in Section J of the solicitation.
The contractor shall provide a copy of the NRC DPV procedure to all of its employees performing under this contract and to all subcontractors who shall, in turn, provide a copy of the procedure to its eniployees.
NOTE:
The prime contractor or subcontractor shall submit all DPV's received by need not endorse them.
(End of Clause)
Page 16 of 38
. ~. -.. -. - - -. - -.-- - _.
c NRC-02-97-008 Section G SECTION G - CONTRACT ADMINISTRATION DATA t
G.I.
NRCAR 20S2.215-71 PROJECT OFFICER AUTHORITY (JAN 1993)
(a) The contracting officer's authorized representative hereinafter referred to as the project officer for this contract ist Name:
Mary Jo Mattia
~
Address: U.S. Nuclear Regulatory Commission Program Management, Policy Development, and Analysis Staff, NMSS Telephone Number: 301-415-7359 (b) Performance of the work under this contract is subject to the technical direction of the NRC project officer.
The term technical direction is defined to include the following:
(1) Technical direction to the contractor which shifts work emphasis between areas of work or tasks, fills in details, or otherwise serves to accomplish the contractual statement of work.
(2) Provide advice and guidance 1to the-contractor in the preparation of drawings, specifications, or technical portions of the work description.
-(3) Review had, where required by the contract, approval of technical ~ drawings, specifications, and technical information to.be delivered by-the contractor to the Government under'the contract.
(c) Technical direction must be within the general statement of work stated in the contract.
The-project officer does not have the authority to and may not issue any technical-i direction-which:
l (1)- Constitutes an assignment of work outside the general scope of the contract.
(2) Constitutes a charge as defined in the " Changes" clause of this contract.
- (3) In any way causes an increase or decrease in the total Page 17 of 38 r
~..
NRC-02-97-008L Section G
-. G.1
-(Continued) estimate'd contract cost, the fixed fee. i-any, or the time required for contract' performance.
)
(4) Changes any of the expressed terms, conditions, or specifications of the contract.
(5) Terminates the contract, settles any claim or dispute
[
arising under the contract, or issues any unilateral directive whatever.
i (d) All technical directions must be issued in writing by the i
project' officer or must be confirmed by the project officer in j
writing within ten (10) working days after verbal issuance.
A copy of the written direction must be furnished to the
{
contracting officer.
4 l
(e) The contractor shall proceed.promptly with the performance of technical directions duly issued by the project officer in the manner prescribed by this clause and within the project j
officer's authority under the provisions of this clause, i
i (f) If, in the opinion of the contractor, any instruction or i
direction issued by the project officer is within one of the categories as defined in paragraph (c) of this section, the 3
i contractor may not proceed but shall notify the contracting l
officer in writing within five (5) working du,s after the receipt of any instruction or direction and shall request the contracting officer to modify the contract accordingly.
Upon l
receiving the notification from the' contractor,-the-j contracting officer shall issue an appropriate contract modification-or advise the contractor in writing that, in the l
contracting officer's cpinion, the technical direction is 1
within the scope of this article and does not constitute a change under the "Changesa clause.
(g) Any unauthorized commitment or direction issued by the project 1
-officer may result in an unnecessary delay in the contractor's
{
performance and may even result in the contractor expending-funds for unallowable costs under the contract.
(h) A failure of_the parties to agree upon the nature of the
!~
instruction or direction or gon tl.e contract action to be l
taken.with respect there to is-subject to FAR 52.233 Disputes.
t I
(i) In additinn to providing technical direction as defined in paragraph (b) of the section, the project officer shall:
(1) Monitor the contractor's technical progress, including surveillance and assessment of performance, and recommend to the contracting officer changes in requirements.
~
Page 18-of 38 s-
NRC-02-97-008
'Section G G.1 (Continued)
(2) Assist the contractor in the resolution of technical problems encountered during performance.
(3) Review all costs requested for reimbursement by the contractor and submit to the con'racting officer recommendations for approval, disapproval, or suspension of payment for supplies and services required under this contract.
(End of Clause]
G.2 NRFAR 2052.215-82 TRAVEL REINBURSENENT
- ALTERNATE 1 (JAN 1993)
(a) The contractor is encouraged to use Government contract airlines, AMTRAK rail services, and discount hotel / motel
+
properties in order to reduce the cost of travel under this contract. -The contracting officer shall, upon request, provide =each traveler with a letter of identification which is required in-order to participate in this program.
The Federal Travel Directory (FTD) identifies carriers, contract fares, schedules, payment conditions, and hotel / motel properties which offer their services and rates to Government contractor personnel traveling on official business under this contract.
The FTD, which is issued monthly, may be purchased from the U.S. Government Printing Office, Washington, DC
- 20402, (b) The contractor will be reimbursed for reasonable travel costs incurred directly and specifically in the performance of this contract.
The cost limitations for travel costs are determined in accordance with the specific travel regulations cited in FAR 31.205-46, as are in effect on the date of the trip.
Travel costs for research and related activities performed at State and nonprofit institutions, in accordance with Section 12 of Pub. L, 100-679, shall be charged in accordance with the contractor's institutional policy to the degree that the limitations of Office of Management and' Budget (OMB)' guidance are not exceeded.
Applicable guidance documents include OMB Circular A-87, Cost Principles for State and Local Governments;.OMB Circular A-122, Cost Principles for Nonprofit Organizations; and OMB Circular A-21, Cost Principles for Educational Institutions.
(c) When the Government changes the Federal Travel Regulations, or other applicable regulations, it is the responsibility of the contractor to notify.the contracting officer in accordance with the Limitations of Cost clause of this contract if the contractor will be unable to make all of the approved trips and remain within the cost and fee limitations of this contract due to the changes.
Page 19 of 38
NRC-02-97-008 Section G 0.2 (Continued)
(End of Clause)~
0.3 NRCAR 2052.216-71 INDIRECT COST RATES (JAN 1993)
(a) Pending the establishment of final indirect rates which must be negotiated based on audit of actual costs, the contractor shall be reimbursed for allowable indirect costs as follows:
Category Rate Cost Base Period SwRI O/H EEEE Direct Labor & Fringe DOA-until revised CNWRA O/H EEEB Direct Labor & Fringe DOA-until revised Fringe EEED Direct Labor DOA-until revised (b)
-The Contracting Officer may adjust the above rates as appropriate during the term of the contract upon acceptance of any revisions proposed by the-contractor.
It is the contractor's responsibility to notify the Contracting Officer in accordance with FAR 52.232-20, Limitation of Cost or FAR 52.232-22, Limitation of Funds, as applicable, if these changes affect performance of work within the established cost or funding limitations.
G.4 USE OF AUTOMATED CLEARING HOUSE'(ACH)
ELECTRONIC PAYMENT It is the policy of the U.S. Nuclear Regulatory Commission to pay. Government vendors by the Automated Clearing House (ACH) electronic funds transfer payment system in lieu of a-U.S.
Treasury check.
The-electronic system is known as Vendor Express.
Payment shall be made-in accordance with FAR 52.232-33, entitled
" Mandatory Information for Electronic Funus Transfer Payment."
-To receive payment by Vendor Express, the contractor chall complete.the " Company Information" portion of Form SF 3u81, entitled " Payment Information Form - ACH Vendor Payment System" found-in Section J.
The contractor shall take the form to the ACH Coordinator at the financial institution that maintains its company's bank account.
The contractor shall discuss with the ACH Coordinator how the payment identification information (addendum record) will be passed to them once the payment is received by the financial institution.
The contractor must ensure that the addendum record will not be stripped from the payment.
The ACH Coordinator will fill out the " Financial Institution Information" portion of the form and return it to the Office of the Controller at the following address:
Nuclear Regulatory Commission, ATTN:
ACH/ Vendor Express, Division of Accounting and Finance, Mailstop Page 20 of 38 I
o
NRC-02-97-008 Section G
@.4 (Continued)
T-9-E-2, Washington, DC 20555.
Once the Office of the controller has processed the contractor's sign-up form, the contractor will begin to receive paymants electronically via Vendor Express /ACH.
If the offerors / bidders have questions concerning ACH/ Vendor Express, they may call the Commercial Payments staff on (301) 415-7520.
[End of Clause]
0 Page 21 of 38
NRC-02-97-008 Section H SECTION H - SPECIAL CONTRACT REQUIREMENTS H.1 NRCAR 2052.209-73 CONTRACTOR ORGANTZATIONAL
' CONFLICTS OF INTEREST (JAN 1993)
(a) Purcose. The primary purpose of this clause is to aid in ensuring that the contractor (1) Is not placed in a conflicting role because of current or planned interests (financial, contractual,-
l organizational, or otherwise) which relate to the work under this contract; and l
(2) Does not obtain an unfair competitive advantage over other parties by virtue of its performance of this Contract.
(b) Eg2ng. Tha restrictions described apply to performance or participation by the contractor, as defined in 48 CFR 2009.570-2 in the aelivities covered by this clause.
(c) Work for others.
(1) Notwithstanding any other provision of this contract, during the term of this contract the contractor agrees to forego entering into consulting or other contractual arrangements with any firm or organization, the result of which may give rise to a conflict of interest with respect to the work being performed under this contract.
The contrcctor shall ensure that all employees under this contract abide by the provision of this clause.
If the contractor has-reason-to believe with respect to itself or any employee that any proposed consultant or other contractual arrangement with any firm or organization may involve a potential conflict of interest, the contractor shall obtain the written approval of the contracting officer before the execution of such contractual arrangement.
(2) The contractor may not represent, assist, or otherwise support an NRC licensee or applicant undergoing an NRC audit, inspection, or-review where the activities that are the subject of the audit, inspection or review are the same as or substantially similar to the services within the scope of this contract (or task order as appropriate), except where the NRC licensee or applicant requires the contractor's support to explain or defend the contractor's prior work for the utility or other entity which NRC questions.
Page 22 of 38
NRC-02-97-008 Section H H.1 (Continued)
(3) When the contractor performs work for the NRC under this contract at any NRC licensee or applicant site, the contractor shall neither solicit nor perform work in the same or similar technical area for that licensee or applicant organization for a period commencing with the award of the task order or beginning of work on the site (if not a task order contract) and ending one year after completion of all work under the associated task order, or last time at the site (if not a task order contract).
(4) When the contractor performs work for the NRC under this contract at any NRC licensee or applicant site, (i) The contractor may not solicit work at that site for that licensee or applicant during the period of performance of the task order or the contract, as l
appropriate.
t (ii) The contractor may not perform work at that site for that licensee or applicant during the period of rarformance of the task order or the contract, as I
appropriate, and for one year thereafter.
(iii) Notwithstanding the foregoing, the contracting officer may authorize the contractor to solicit or perform this type of work (except work in the same or similar technical area) if the contracting officer determines that the situation will not pose a potential for technical bias or unfair competitive advantage.
(d) Disclosure after award.
(1) The contractor warrants that to the best of its knowledge and belief, and except as otherwise set forth in this contract, it does not have any organizational conflicts of interest as defined in 48 CFR 2009.E70-2.
(2) The contractor agrees that, if c#ter award, it discovers organizational conflicts of interest with respect to this contract, it shall make an immediate and full disclosure in writing to the contracting officer. This statement must include a description of the action which the contractor has taken or proposes to take to avoid or mitigate such conflicts.
The NRC may, however, terminate the contract if cermination is in the best interest of the government.
(3) It is recognized that the scope of work of a task-order-type contract necessarily encompasses a broad Page 23 of 38
NRC-02-97-008 Section H H.1 (Continued) spectrum of activities. Consequently, if this is a task-order-type contract,-the contractor agrees that it will disclose all proposed new work involving NRC licensees or applicants which comes within the scope of work of the underlying contract. Further, if this contract involves work at'a licensee or applicant site, the contractor agrees to exercise diligence to discover and disclose any new work at that licensee or applicant site.
This disclosure must be made before the submission of a bid or proposal to the utility or other regulated entity and must be received by the NRC at least 15 days before the proposed award date in any event, unless a written justification demonstrating urgency and due diligence to discover and disclose is provided by the contractor and approved by the contracting officer.
The disclosure must include the statement of work, the dollar value of the proposed contract, and any other documents that are needed to fully describe the proposed work for the regulated utility or other regulated entity.
NRC may deny approval of the disclosed work only when the NRC has
. issued a task order which includes the technical area and, if site-specific, the site, or has plans to issue a task order which includes the technical area and, if site-specific, the site, or when the work violates paragraphs (c) (2), (c) (3) or (c) (4) of this section.
(e) Access to and use of information.
(1) If in the performance of this contract, the contractor obtains access to information, such as NRC plans, policies, reports, studies, financial plans, internal 1.
data = protected by the Privacy Act of 1974 (5 U.S.C.
Section 552a (1988)), or the Freedom of Information Act (5 U.S.C. Section 552 (1986)), the contractor agrees not to:
(i) Use this information for any private purpose until the information has been released to the public; (ii) Compete.for work for the Commission based on the information for a period of six months after either the completion of this contract or the release of the information to the public, whichever is first; (iii) Submit an-unsolicited proposal to the Government based on the information until one year after the release.of the information to the public; or (iv) Release the information without prior written approval by the contracting officer unless the information has previously been released to the Page 24 of 38
NRC-02-97-008 Section H H.1 (Continued) public by the NRC.
(2) In addition, the contractor agrees that, to the extent it receives or is given access to proprietary data, data protected by the Privacy Act of 1974 (5 U.S.C. Section 552a (1988)), or the Freedom of Information Act (5 U.S.C.
Section 552 (1986)), or other confidential or privileged technical, business, or financial information under this contract, the contractor shall treat the information in accordance with restrictions placed on use of the information.
(3) Subject to patent and security provisions of this contract, the contractor shall have the right to use technical data it produces under this contract for private purposes provided that all requirements of this contract have been met.
(f) Subcontracts.
Except as provided in 48 CFR 2009.570-2, the contractor shall include this clause, including this paragraph, in subcontracts of any tier.
The terms contract, contractor, and contracting officer, must be appropriately 1
modified to preserve the Government's rights.
(g) Remedies.
For breach of any of the above restrictions, or for intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract or for such erroneous representations that necessarily imply bad faith, the Government may terminate the contract for default, disqualify the contractor from subsequent contractual efforts, and pursue other remedies permitted by law or this contract.
(h) Waiver.
A request for waiver under this clause must be directed in writing to the contracting officer in accordance with the procedures outlined in 48 CFR 2009.570-9.
(i) Follow-on effort.
The contractor shall be ineligible to participate in NRC contracts, subcontracts, or proposals therefor (solicited or unsolicited), which stem directly from the contractor's performance of work under this contract.
Furthermore, unless so directed in writing by the contracting officer, the contractor may not perform any technical consulting or management support services work or evaluation activities under this contract on any of its products or services or the products or services of another firm if the contractor has been substantially involved in the development or marketing of the products or services.
(1) If the contractor, under this contract, prepares a complete or essentially complete statement of work or Page 25 of 38
NRC-02-97-008 Section H H.1 (Continued) specifications, the contractor is not eligible to perform or participate in the initial contractual effort which is based on the statement of work or specifications.
The contractor may not incorporate its products or services in the statement of work or specifications unless so directed in writing by che contracting officer, in which case the restrictions in this paragraph do not apply.
(2) Nothing in this paragraph precludes the contractor from offering or selling its standard commercial items to the Government.
[End of Clause)
H.2 NRCAR 2052.215-70 KEY PERSONNEL (JAN 1993)
(a) The following individuals are considered to be essential to the successful performance of the work hereunder:
Dr. Narasi Sridhar Dr. Roberto Pabalan Dr. Vijay Jain Dr. Budhi Sagar Mr. Randall Redors The contractor agrees *. hat personnel may not be removed from the contract work or replaced without compliance with paragraphs (b) and (c) of this section.
(b) If one or more of the ley personnel, for whatever reason, becomes, or is expected to become, unavailable for work under this contract for a con:inuous period exceeding 30 work days, or is expected to devote substantially less effort to the work than indicated in the proposal or initially anticipated, the contractor shall immediately notify the contracting officer and shall, subject to the concurrence of the contracting officer, promptly replace the personnel with personnel of at least substantially equal ability and qualifications.
(c) Each request for approval of substitutions must be in writing and contain a detailed explanation of the circumstances necessitating the proposed substitutions.
The request must also contain a complete resume for the proposed substitute and other information requested or needed by the contracting officer to evaluate the proposed substitution.
The contracting officer or his/her authorized representative shall evaluate the request and promptly notify the contractor of his or her approval or disapproval in writing.
(d) If the contracting officer determines that suitable and timely Page 26 of 38
l NRC-02-97-008 Section H
=
H.2 (Continued) replacement of key personnel who have been reassigned, terminated, or have otherwise become unavailable for the contract work is not reasonably forthcoming, or that-the-resultant reduction of productive effort would be so-substantial as to impair the successful completion of the contract or the service order, the contract may be terminated by the contracting officer for default or for the convenience of the Covernment, as appropriate.
If the contracting-officer finds the contractor at fault for the condition, the contract price or fixed fee may be equitably adjusted downward to i
compensate the Government for any resultant delay, loss, or damage.
)
(End of Clause]
p H.3 NRCAR 2052.235-70 PUBLICATION OF RESEARCH RESULTS (JAN 1993)
(a) The principal investigator (s)/ contractor shall comply with the provisions of NRC Handbook 3.8 (formerly MC 3202) and NRC Manual Chapter 3206 regarding publication in refereed i
scientific and engineering journals or dissemination to the public of any information, oral or written, concerning the i
work performed under this contract.
Failure to comply with this clause shall be grounds for termination of this contract.
(b). The principal investigator (s) / contractor may publish the results of this work in refereed scientific and engineering journals or in open literature and present papers at public or l-association meetings at interim stages of work, in addition to i
submitting to NRC the final reports and other deliverables required under this contract.
However, such publication and papers shall focus on advances in science and technology and
. minimize conclusions and/or recommendations which may have regulatory implications, j
(c) Prior to any such publication, the contractor shall submit the proposed publication to the NRC Contracting Officer and Project Officer for review and approval.
l
[End of Clause]
H.4 NRCAR 2052.235-72. SAFETY, HEALTH, AND FIRE PROTECTION (JAN 1993)
The contractor shall take all reasonable precautions in the performance of the work under this contract to protect the health and safety of its employees and of members of the public, including NRC employees and contractor personnel, and to minimize danger from all hazards to life and property and shall comply with all applicable health, safety, and fire protection regulations and requirements (including reporting requirements) of the Commission Page 27 of 38
. =.
NRC-02-97-008 Section H j
H.4 (Continued) and the Department of Labor.
In the event that the contractor fails to comply with these regulations or requirements, the
. contracting of ficer may,: without prejudice to any other legal or
[
contractual rights of the Commission, issue an order stopping all or any part of the work; thereafter, a start order for resumption of work may be issued at the discretion of the contracting i
officer.
The contractor shall make no claim for an extension of time or for compensation or damages by reason of, or in connection with, this type of work stoppage.
l l
[End of Clause]
i i
H.5 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY - NONE PROVIDED y
(JUN 1988)
The Government will not provide any equipment / property under i
this contract.
i l
[End of Clause]
4 i
4 i
l-4 1i i
4 i
i i
I J
Page 28 of 38
NRC-02-97-008 Section I PART II CONTRACT CLAUSES SECTION I CONTRACT CLAUSES I.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988)
This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text.
Upon request, the Contracting Officer will make their full text available.
I.
FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES NUMBER TITLE DATE l
52.202-1 DEFINITIONS OCT 1995 52.203-3 GRATUITIES APR 1984 52.203-5 COVENANT AGAINST CONTINGENT FEES APR 1984 52.203-6 RESTRIC' IONS ON SUBCONTRACTOR JUL 1995 SALES TO THE GOVERNMENT 52.203-10 PRICE OR FEE ADJUSTMENT FOR JAN 1996 ILLEGAL OR IMPROPER ACTIVITY 52.203-12 LIMITATION ON PAYMENTS TO JUN 1997 INFLUENCE CERTAIN FEDERAL l
TRANSACTIONS 52.204-4 PRINTING / COPYING DOUBLE-SIDED JUN 1996 ON RECYCLED PAPER 52.209-6 PROTECTING THE GOVERNMENT'S JUL 1995 INTEREST WHEN SUBCONTRACTING WITH CONTRACTORS DEBARRED, SUSPENDED, OR PROPOSED FOR DEBARMENT 52.215-2 AUDIT AND RECORDS--NEGOTIATION AUG 1996 Alternate II (JAN 1997) 52.215-33 ORDER OF PRECEDENCE JAN 1986 52.216-8 FIXED FEE MAR 1997 52.219-8 UTILIZATION OF SMALL, SMALL JUN 1997 DISADVANTAGED AND WOMEN-OWNED SMALL BUSINESS CONCERNS 52.222-3 CONVICT LABOR AUG 1996 52.222-26 EQUAL OPPORTUNITY APR 1984 52.222-35 AFFIRMATIVE ACTION FOR SPECIAL APR 1984 DISABLED AND VIETNAM ERA VETERANS 52.222-36 AFFIRMATIVE ACTION FOR APR 1984 HANDICAPPED WORKERS 52.222-37 EMPLOYMENT REPORTS ON SPECIAL JAN 1988 DISABLED VETERANS AND VETERANS OF THE VIETNAM ERA 52.223-2 CLEAN AIR AND WATER APR 1984 52.223-6 DRUG-FREE WORKPLACE JAN 1997 Page 29 of 38
i Ir o
1 J
5
}
NRC-02-97-008 Section I i
(Continued)
I.1 i
1 NUMBER
- TITLE DATE l
52.225-11 RESTRICTIONS ON CERTAIN OCT 1996' FOREIGN PURCHASES.
l 52.225-19 EUROPEAN UNION SANCTION FOR JAN 1996 I
SERVICES-l
-52.227-1 AUTHORIEATION AND CONSENT JUL 1995 52.227 2.
NOTICE AND ASSISTANCE REGARDING AUG 1996 PATENT:AND COPYRIGHT INFRINGEMENT i
52.227-11 PATENT RIGHTS - RETENTION BY JUN 1997 j
THE CONTRACTOR (SHORT FORM) i 52.227-14 RIGHTS IN DATA.- GENERAL JUN 1987 f
52.228-7 INSURANCE - LIABILITY TO THIRD MAR 1996 PERSONS 52.232-17 INTEREST JUN 1996 j
52.232-20 LIMITATION OF COST APR 1984 52.232-22 LIMITATION OF FUNDS APR 1984 4
l 52.232-23 ASSIGNMENT OF CLAIMS JAN 1986 52.232-25 PROMPT PAYMENT JUN 1997
)
52.232-33
- MANDATORY INFORMATION FOR AUG 1996 ELECTRONIC FUNDS TRANSFER PAYMENT 52.233-1 DISPUTES OCT 1995 52.233-3 PROTEST AFTER AWARD AUG 1996 i
Alternate I (JIRI 1985) f 52.242-1 NOTICE OF INTENT TO DISALLOW COSTS APR 1984 52.242-13 BANKRUPTCY JUL 1995 I
52.243-2 CRANGES - COST-REIMBURSEMENT AUG 1987 j
Alternate.I (APR 1984)
L 52.244-2 SUBCONTRACTS (COST-REIMBURSEMENT FEB 1997 j
AND LETTER CONTRACTS)
-52.244-5 COMPETITION IN SUBCONTRACTING DEC 1996 52.246-25 LIMITATION OF LIABILITY - SERVICES FEB 1997
.52.249-6' TERMINATION (COST-REIMBURSEMENT)
SEP 1996 l.
52.249-14 EXCUSABLE DELAYS.
APR 1984 52.251-1
- GOVERNMENT SUPPLY SOURCES APR 1984 52.~.53-l' COMPUTER GENERATED FORMS JAN 1991
[End of-Clause]
e
- l. -
-I. 2 52.216-7 ALLOWABLE COST AND PAYMENT (MAR 1997) 2 l
(a)' Invoicina.-
The Government shall make payments to the L
Contractor when requested as work progresses, but (except for i
small business concerns) not more.often than once every.2 weeks, in amount s determined to be allowable by the j-Contracting Officer in accordance1with Subpart 31.2 of the
-Federal Acquisition: Regulation (FAR).in ef fect on the date of
-this contract and the terms of this contract.
The contractor may submit to an-authorized representative ofLthe Contracting j
Officer, in such-form and reasonable detail as the l'
Page 30 of 38 i
).;
4 r-.
-vi.s.
m p-i-u
..e.-
..-y-
=---si4 e-r-a e
=
w
NRC-02-97-008 Section I I.2 (Continued) representative may require, an invoice or voucher supported by a statement of the claimed allowable cost for performing this contract.
(b) Reimbursina costs.
(1) For the purpose of reimbursing allowable costs (except as provided in subparagraph (2) below, with respect to pension, deferred profit sharing, and employee stock ownership plan contributions), the term " costs" includes only--
(1)
Those recorded costs that, at the time of the request for reimbursement, the Contractor has paid by cash, check, or other form of actual payment for items or services purchased directly for the contract; (ii)
When the Contractor is not delinquent in paying costs of contract performance in the ordinary course of business, costs incurred, but not necessarily paid, for--
(A) Materials issued from the Contractor's inventory and placed in the production process for use on the contract; (B) Direct labor; (C) Direct travel; (D) Other direct in-house costs; and (E) Properly allocable and allowable indirect costs, as shown in the records maintained by the Contractor for purposes of obtaining reimbursement under Government contracts; and (iii) The amount of progress and other payments that have been paid by cash, check, or other form of payment to the Contractor's subcontractors under similar cost standards.
(2) Contractor contributions to any pension or other postretirement benefit, profit-sharing or employee stock ownership plan funds that are paid quarterly or more often may be included in indirect costs for payment purposes; Provided, that the Contractor pays the contribution to the fund within 30 days after the close of the period covered.
Paymencs made 30 days or more after the close of a period shall not be included until the contractor actually makes the payment.
Accrued costs for such contributions that are paid less often than Page 31 of 38
NRC-02-97-009 Section I I.2 (Continued) quarterly shall be excluded from indirect costs for payment purposes until the Contractor actually makes the payment.
(3) Notwithstanding the audit and adjustment of invoices or vouchers under paragraph (g) below, allowable indirect costs under this contract shall be obtained by applying indirect cost rates established in accordance with paragraph (d) below.
(4) Any statements in specif cations or other documents incorporated in this contract by reference designating performance of services or furnishing of materials at the Contractor's expense or at no cost to the Government shall be disregarded for purposes of cost-reimbursement under this clause.
(c) Small business concerns.
A small business concern may be paid more often than every 2 weeks and may invoice and be paid for recorded costs for items or services purchased directly for the contract, even though the concern has not yet paid for those items or services.
I (d) Final indirect cost rates.
(1) Final annual indirect cost rates and the appropriate bases shall be established in accordance with Subpart 42.7 of the Federal Acquisition Regulation (FAR) in effect for the period covered by the indirect cost rate proposal.
(2) The Contractor shall, within 90 days after the expiration of each of its fiscal years, or by a later date approved by the contracting Officer, submit to the cognizant Contracting Officer responsible for negotiating its final indirect cost rates and, if required by agency procedures, to the cognizant audit activity proposed final indirect cost rates for that period and supporting cost data specifying the contract and/or subcontract to which the rates apply.
The proposed rates shall be based on the Contractor's actual cost experience for that period.
The appropriate Government representative and Contractor shall establish t M final indirect cost rates as promptly as practical after receipt of the Contractor's proposal.
(3) The Contractor and the appropriate Government representative shall execute a written understanding setting forth the final indirect cost rates.
The understanding shall specify (i) the agreed-upon final annual indirect cost rates, (ii) the bases to which the rates apply, (iii) the periods for which the rates apply, (iv) any specific indirect cost items treated as direct Page 32 of 38
NRC-02-97-008 Section I I.2 (Continued) costs in the settlement, and (v) the atfected cnntract and/or subcontract, identifying any with advance agreements or special terms and the applicable rates.
The understanding shall not change any monetary ceiling, contract obligation, or specific cost allowance or disallowance provided for in this contract.
The understanding is incorporated into this contract upon execution.
(4) Within 120 days after settlement of the final indirect cost rates covering the year in which this contract is physically complete (or longer, if approved in writing by the Contracting Officer), the contractor shall submit a completion invoice or voucher to reflect the settled amounts and rates.
(5) Failure by the parties to agree on a final annual indirect cost rate shall be a dispute within the meaning of the Disputes clause.
(e) Billine rates.
Until final annual indirect cost rates are establi.shed for any period, the Government shall reimburse the Contra: tor at billing rates established by the Contracting Officer or by an authorized representative (the cognizant auditor), subject to adjustment when the final rates are established.
These billing rates--
(1) Shall be the anticipated final rates; and (2) May be prospectively or retroactively revised by mutual agreement, at either party's request, to prevent substantial overpayment or underpayment.
(f) Ouick-closecut orocedures.
Quick-closecut procedures are applicable when the conditions in FAR 42.708(a) are satisfied.
(g) Audit.
At any time or times before final payment, the contracting Officer may have the contractor's invoices or vouchers and statements of cost audited.
Any payment may be (1) reduced by amounts found by the contracting Officer not to constitute allowable costs or (2) adjusted for prior overpayments or underpayments.
(h) Final navment.
(1) Upon approval of a completion invoice or voucher submitted by the Contractor in accordance with paragraph (d) (4) of this clause, and upon the Contractor's compliance with all terms of this contract, the Government shall promptly pay any balance of allowable costs and that part of the fee (if any) not previously paid.
(2) The Contractor chall pay to the Government any refunds, Page 33 of 38
NRC-02-97-008 Section I I.2 (Continued) rebates, credits, or other amounts (including interest, if any) accruing to or received by the Contractor or any assignee under this contract, to the extent that those amounts are properly allocable to costs for which the Contractor has been reimbursed by the Government.
Reasonable expenses incurred by the contractor for securing refunds, rebates, credits, or other amounts shall be allowable costs if approved by the Contracting Officer.
Before final payment under this contract, the Contractor and each assignee whose assignment is in effect at the time of final payment shall execute and deliver--
(1)
An assignment to the Government, in form and substance satisfactory to the contracting Officer, of refunds, rebates, credits, or other amounts (including interest, if any) properly allocable to costs for which the Contractor has been reimbursed by the Government under this contract; and (ii) A release discharging the Government, its officers, agents, and employees from all liabilities, obligations, and claims arising out of or under this contract, except--
(A) Specified claims stated in exact amounts, or in estimated amounts when the exact amounts are not known; (B) Claims (including reasonable incidental expenses) based upon liabilities of the Contractor to third parties arising out of the performance of this contract; provided, that the claims are not known to the Contractor on the date of the execution of the release, and that the Contractor gives notice of the claims in writing to the Contracting Officer within 6 years following the release date or notice of final payment date, whichever is earlier; and (C) Claims for reimbursement of costs, including reasonable incidental expenses, incurred by the Contractor under the patent clauses of this contract, excluding, however, any expenses arising from the Contractor's indemnification of the Government against patent liability.
[End of Clause]
Page 34 of 38
l i
NRC-02-97-008 Section I I.3 52.222-2 PAYMENT FOR OVERTIME PREMIUMS (JUL 1990)
(a) The use of overtime is authorized under this contract if the overtime premium cost does not exceed $0.00 or the overtime premium is paid for work--
(1) Necessary to cope with emergencies such as those resulting from accidents, natural disasters, breakdowns of production equipment, or occasional production bottlenecks of a sporadic natures (2) By indirect-labor employees such as those performing duties in connection with administration, protection, transportation, maintenance, standby plant protection, operation of utilities, or accounting; (3) To perform tests, industrial processes, laboratory procedures, loading or unloading of transportation conveyances, and operations in flight or afloat that are continuous in nature and cannot reasonably be interrupted or completed otherwise; or (4) That will result in lower overall costs to the Government.
(b) Any request for estimated evertime premiums that exceeds the amount specified above shall include all estimated overtime for contract completion and shall--
(1) Identify the work unit; e.g.,
department or section in which the requested overtime will be used, toge:her with present workload, staffing, and other data of the affected unit sufficient to permit the Contracting Officer to evaluate the necessity for the overtime; (2) Demonstrate the effect that denial of the request will have on the contract delivery or performance schedule; (3) Identify the extent to which approval of overtime would affect the performance or payments in connection with other Government contracts, together with identification of each affected contract; and (4) Provide reasons why the required work cannot be performed by using multishift operations or by employing additional personnel.
(End of Clause)
Page 35 of 38
4 4
NRC-02-97-008 Section I i
14 52.242-4 CERTIFICATION OF INDIRECT COSTS -(OCT 1995) 0 (a) The Contractor'shall--
j (1) Certify any proposal to establish or modify billing rates or to establish final indirect cost rates; (2) Use the format in paragraph (c) of this clause to certify; and (3) Have the certificate signed by an individual of the Contractor's organization at a level no lower than a vice president or chief financial officer of the business segment of the Contractor that submits the proposal.
(b). Failure by the Contractor to submit a signed certificate, as described in_this clause, shall result in payment of indirect costs at rates unilaterally established by the Government.
(c) The certificate of indirect costs shall read as follows:
Certificate of Indirect Costs This is to certify that to the best of-my knowledge and belief:
- 1. _
I have_ reviewed this indirect cost proposal;
'2.
All costs included in this proposal (identify proposal and date) to establish billing or final indirect costs rates for (identify period covered by rate)-are allowable in accordance with the requirements of contracts to which they apply and with-the cost principles of the-Federal Acquisition Regulation (FAR) and its supplements applicable to
-those contracts; 3.
This proposal does not include any costs which are unallowable under applicable cost principles of the FAR or its supplements, including, but not limited' to: advertising and public relations costs, contributions and donations, entertainment costs, fines and penalties, lobbying costs, defense of fraud proceedings, and goodwill; and 4.
All costs included in-this proposal are_ properly allocable to Government contracts on the basis of a beneficial or casual relationship between the expenses incurred and the contracts to which they are allocated in accordance with applicable acquisition regulations.
I declare under penalty of perjury that the foregoing is Page 36 of 38
NRC-02-97-008 Section I I.4 (Continued) true and correct.
Firm:
Signature:
Name of Certifying Official:
Title:
Date of Execution:
(End of Clause)
Page 37 of 38
N,RC-02-97-008 Section J PART III - LIST OF DOCUMENTS, EKHIBITS AND OTHER ATTACIDGNTS SECTION J - LIST OF ATTACHMENTS J.1 ATTACHMENTS (MAR 1987)
Attachment Number Title 01 Billing Instructions 02 NRC Contractor Organizational Conflicts of Interest 03 NRC Handbook 3.8 04 Payment Information Form SF 3381 - ACH Vendor Payment System 05 Procedures for Resolving NRC Contractor Differing Professional Views Page 38 of 38
BILLING INSTRUCTIONS FOR COST-REIMBURSEMENT TYPE CONTRACTS General:
The contractor shall prepare vouchers / invoices for reimbursement of costs in the manner and format described herein.
FAILURE TO SUBMIT VOUCHERS / INVOICES IN ACCORDANCE WITH THESE INSTRUCTIONS WILL RESULT IN REJECTION OF THE VOUCHER / INVOICE AS IMPROPER.
Number of Cocies:
An original and three copies, including supporting documentation shall be submitted.
A copy of all supporting documents must be attached to each copy of your voucher / invoice.2 Failure to submit all the required copies
?
will result in rejection of the voucher / invoice as improper.
Desionated Acency Billino Office:
Vouchers / invoices shall be submitted to the following address:
U.S. Nuclear Regulatory Commission Division of Contracts - T7-I2 Washington, DC 20555 HAND DELIVERY OF VOUCHERS / INVOICES IS DISCOURAGED AND WILL NOT EXPEDITE PROCESSING BY NRC.
However, should you choose to deliver vouchers / invoices by hand, including delivery by any express mail services or special delivery services which use a courier or other person to deliver the voucher / invoice in person to the NRC, such vouchers / invoices must be addressed to the above Designated Agency Billing Office and will only be accepted at the following location:
U.S. Nuclear Regulatory Commission One White Flint North 11555 Rockville Pike - Mail Room Rockville, MD 20852 HAND-CARRIED SUBMISSIONS WILL NOT BE ACCEPTED AT OTHER THAN THE ABOVE ADDRESS.
- Supporting documentation is not required to be submitted with the invoices which are submitted every four weeks per agreement between NRC, SwRI, and DCAA.
However, all such documentation should be available at SwRI for inspection by NRC and/or DCAA upon request.
In addition, periodically, certain supporting documentation may be requested by NRC for verification of invoiced amounts.
BILLING INSTRUCTIONS COST REIMBURSEMENT l
Note that the official receipt date for hand-delivered vouchers / invoices will be the date it is received by the official agency billing office in the Division of Contracts.
Acency Payment Office:
payment will continue to be made by the office designated in the contract in Block 12 of SF 26 or Block 25 of SF 33, whichever is applicable.
Erecuencv:
The contractor shall submit claims for reimbursement once each month (or every four weeks), unless otherwise authorized by the Contracting Officer.
Format:
Although NRC has a sample form, the contractor is not required to use it.
Alternate formats are permissible provided all requirements of the billing instructions are addressed.
Copies of the sample form are available from the Contracting Officer.
The contractor shall submit separate invoices for each Job Code.
Invoices shall provide detailed cost information for each task or subtask as well as a cumulative for that Job Code.
This includes all applicable cost elements discussed in paragraphs (a) through (p) of the attached instructions.
Fee Recovery Billinos:
Not applicable to this contract.
Billinc of Cost After Exoiration of Contract:
If costs are incurred during the contract period and claimed after the contract has expired, the period during which these costs were incurred must be cited.
To be considered a proper expiration voucher / invoice, the contractor shall clearly mark it " EXPIRATION VOUCHER" or " EXPIRATION INVOICE".
Final vouchers /invoicer shall be marked " FINAL VOUCHER" or " FINAL INVOICE".
Currenev:
Billings may be expressed in the currency normally used by the contractor in maintaining his accounting records; payments will be made in that currency.
However, the U.S. dollar equivalent for all vouchers / invoices paid under the contract may not exceed the total U.S. dollars authorized in the contract.
Supersession:
These instructions supersede any previous billing instructions.
BILLING INSTRUCTIONS COST REIMBURSEMENT
Exhibit 1 INSTRUCTIONS FOR PREPARING COST INFORMATION FOR NRC CONTRACTS Preparation and Itemization of the Voucher / Invoice:
In order to constitute a proper invoice, the contractor shall furnish all the information set forth below.
Official Agency Billing Office:
Address the original and 3 copies of the voucher / invoice, together with supporting documentation attached to each copy to:
U.S. Nuclear Regulatory Commission, Division of Contracts - T7-I2, Washington, DC 20555.
Vouchers / invoices delivered by hand, including delivery by express mail or special delivery services which use a courier or other person to deliver the voucher / invoice in person to the NRC, should be addressed in accordance with tne foregoing and delivered to:
U.
S, Nuclear Regulatory Commission, One White Flint North, 11555 Rockville Pike - Mail Room, Rockville, Maryland 20852.
Hand-delivered vouchers / invoices will not be accepted at other than the above address.
Note, however, that the official receipt date for hand-delivered vouchers / invoices will be the date it is received by the official agency billing office in the Division of Contracts.
Payee's Name and Address.
Show the name of the contractor as it appears in the contract and its correct address.
When an approved assignment has been made by the contractor, or a different payee or addressee has been designated, insert the name and address of the payee.
Indicate the name and telephone number of the individual responsible for answering any questions that the NRC may have regarding the invoice.
(a)
Contract Number.
Insert the NRC contract number.
Task /Suotask Number, if applicable.
Insert the task / subtask number.
(b)
Voucher / invoice number.
The appropriate sequential number of the voucher / invoice, beginning with 001 may be designated or the Contractor may use an individual internal accounting number.
(d)
Date of Voucher / Invoice.
Insert the date the voucher / invoice is prepared.
(e)
Billing Period.
Insert the beginning and ending dates (day, month, year) of the period during which costs were incurred and for which reimbursement is claimed.
1 j
b E
1
.y
+
(f)
Direct Costs - Insert the amount billed for the following cost elements, adjustments, suspensions, and total amounts,
{-
for both the current billing period'and for the cumulative period (from contract inception to end date of this billing
_ period).
(Not necessarily in this order) :
j (1)
Direct Labor.
This consists of salaries and wages paid (or accrued) for direct performance of the contract i
itemized between SwRI labor and CNWRA labor.
May include premium pay if proposed and approved in the i.
current Operations Plan.
~
4 (2)
Fringe Benefits.
.This represents fringe benefits
. applicable to direct labor and billed as-a direct cost.
i Where a rate is used indicate the rate.
Fringe l
benefits included in direct labor or in other_ indirect cost pools should not be identified here.
l (3)
Capitalized Non Expendable Equipment.
List each item costing $50,000 or more and have a life expectancy of l
more than one year.
List only those items of equipment for which reimbursement is requested.
For each such j
item, list the following (as applicable) : (a) the -item number for the specific piece of equipment 111sted in the property schedule of the contract; or-(b) the Contracting Officer's approval letter if the equipment is not covered by the property schedule.
(4) _Non-capitalized Equipment, Materials, or Supplies.
These are equipment other than that described in (3) above, plus consumable materials, supplies. (See footnote on page 1).
Sensitive equipment / property valued at $500 or more shall be listed separately.
Provide the item number for such equipment.
(5)
Consultants.
Supporting information, including the name, and hourly or daily rate shall be available per foot;ote on page 1.
(6)
Travel.
Supporti., information shall be available per footnote on page 1.
(7)
Subcontracts.
Supporting information shall be available per footnote on page 1.
(8)
Other categories i.e. Machine Shop Services, Quality Assurance Services, Telephone and Telegram, etc.
(See footnote on page 1)
(g)
Indirect Costs (Overhead and General and Administrative Expense) and Facilities Capital.
Cite the formula (rate and base) in effect in accordance with the terms of the 2
1 contract, during the time the costs were incurred and for which reimbursement is claimed.
Differentiate between SwRI 4
and CNWRA overhead.
(h)
Fee.
Base fee may be billed at. 4% of costs incurred during that month exclusive of Facilities Capital.
Separate invoices may be submitted for award fees and residual base fees.
(i)
Total Amount Billed.
Insert the amount claimed for the current and cumulative periods.
(j)
Adjustments.
For cunulative amount, include ou'. atanding suspensions.
(k)
Grand Totals.
Further itemization of vouchers / invoices shall only be required for items having specific limitations set forth in the contract.
e 1
ATTACHMENT 1 INVOICE / VOUCHER FOR PURCHASES AND SERVICES OTHER THAN PERSONAL j
l (SAMPLE FORMAT)
Of f1clal Acency Billino Offlee (a)
Contract NumDer U.S. Nuclear Regulatory Comission Division of Contracts MS: T.7.I.2 Task Order No. (If Applicable)
Washington. DC 20555 0001 Pavee's Name and Address-(b)
Voucher / Invoice #
(c)
Date of Voucher / Invoice Individual to Contact (d)
Fixed Fee Regarding this Voucher Name:
I Tel. No.:
(e)
This vcacher represents reimbursable costs for the billing period for the D11'ing per1cc
from through Amount Billed Current Period Cumulative (f)
Direct Costs (1)
Direct labor *............,
(2)
Fringe benefits
(
%. if computed as percentage).
(3)
Capitalized nonexpendable equipment ($50.000 or more.
see instructions)*.......
(4)
Non cap 1talized equipment.
materials. and supplies *.......
(5)
Premium pay (NRC approved overtime)..
(6)
Consultants.
(7)
Travel........
(B)
Subcontracts....
(9)
Other costs.
J,tal Direct Costs
.sg)
Indirect Costs (A)
Overneaa
% of (Indicate Base).
(B)
General & Administrative Expense
- of Cost Elements Nos.
Total Direct & Indirect Costs (h)
Fixed Fee (Cite Formula):
(i)
Total Amount Billed...
(j)
Adjustments......................
(k)
Grand Totals..................
o (Recu1res Supporting Information See Attached)
SAMPLE SUPPORTING INFORMATION 1)
Q1rtst Labor 12400 Labor Hours Cumulative
_ilad Ralf Hrs. Billed-(W
$14.00 81 975 Cateoorv Senior Engineer !
Engineer 50
$10.00
$500 465 320 g
Computer Analyst 100
$5;00 3,)
Caoitalized Non Exoendable Eautoment Prot" se Spectrometer Item number 1000 01 $60.000 6)
- N.2n,1 alized Eautomert Materials. and Sucolies
$1100.00 10 Radon tubes 9 $110.00
=
5900.00 6 Pairs Electrostatic gloves 9 5150.00 a
$2000.00
(
NUCLEAR REGULATORY COMMIS510N ACOUISITION REGUL 110N 2009.570 NRC organizational conflicts of interest.
f2009.570-1 Scope of policy.
(4)
It is the policy of NRC to avold, elimtr.a J. or neutrali2e contractor organizational conflicts,I interest.
The NRC achieves this l
objective by requiring all prospective contrccton to submit ;nformatton describing relationships, if any, with organizatinns or persons (including those regulated by the MC) which May give rise to actual or potential conflicts of interest in the egent of co'itract a ard.
(b)
Centractor conflict of interest determinatioris cannot be made automatically or routinely. The application of sound j dgment on virtually a case-by-case basis is neces,ary if the policy is to be applied to satisfy the overali public interest.
It is not possible to prescribe in advar... a specific method or set of criteria which would serve to identify an'ir resolve all of tht. contractor confltct of interest situations which might arise.
However, examples are provided in these regulations to guide application of this policy guidance.
The ultimate test is as follows: Might the contractor, if awarded the contract, be placed in a position where its judgment may be biased, or where it may have an unfair competitive advantage?
(c)
The cont'lict of interest rule contained in this subpart applies to contractors and offerors only.
Individuals or firms who have other relationships with the NRC (e.g., parties to a licensing proceeding) are not covered by this regulation. This rule does not apply to the acquisition of consulting services through the personnel appointment process, NRC agreements with other Government agenctes, international organizations, or state, local, or foreign Governments. Separate procedures for avoiding conflicts of interest will be employed in these agreements, as appropriate.
52009.570-2 Definitions.
As used in $2009.570:
Affiliatesmeansbudnesscon'cernswhicnareaffiliatesofeachother' when either direct,1y or indirectly one concern or individual controls or has the power to control another, or when a third party controls or has the power to control both.
Contract means any contractual agreement or other arrangement with 'the NRC except as provided in (2009.57C-1(c).
Contractor means any person, firn, unincorporated association, joint venture, co-sponsor, partners. hip, corporation, affiliates t ereof, or their successors in interest, including their chief executives, dire; tors, key personnel (identified in the contract), proposed consultants or 4
subcontractors, which are a party to a contract with the NRC.
Evaluatien activities means any effort involving the appraisal of a technology, process, product, or policy.
l
l i
s Offerer or crosoective contractor means any person, firm, unincorporate:
association, joint venture, co-sponsor, partnership, corporation, or their 1
affiliates or successors in interest, including their chief executives, directors, key personnel, proposed consultants, or subcontractors, submitting a bid or proposal, solicited or unsoltetted, to the NRC to obtain a contract.
Oroanizational conflicts of interest means that a relationship exists a contractor or prospecttve contractor has present or planned interests related to the work to be performed under an NRC contract which:
whereb) l May diminish its capacity to give impartial, technically sound, j
objective assistance and advice, or may otherwise result in a biased work (1) product: or May result in its being given an unfair competitive advantage, (2)
~
Potentid1" conflict of intfitu means that a factual situation exists that suggests that an detual confitet of interest may artse from award of a f
The term spignf tal confite' of tnterest is used to signify proposea contraqt.
those situations that-Herit investigation before contract award to ascertain whether (1) award would give rise to an actual conflict; or Hust be reported to the contracting officer for investigation if (2) they arise during contract perfonnance.
l
_ esearch means any scientific or technical work *iivolving theoretica R
analysis, exploration, or experimentation.
Subcontractor means any subcontractor of any tier who performs work under a contract with the NRC except subcontracts for suppites and subcontracts in amounts not exceeding the small purchase threshold.
Technical consultino and manaaement succort services rieans inte assistance to a component of the NRC in the formulation or administration of policies which normally require that the contractor its programt., projects,
't be given access to proprietary information or to information that has not t,nt, These services typically include assistance in made available to the public, the preparation of program plans, preliminary designs, specifications, or statements of work, Criteria for recogni:ing contractor organizational conflicts of 52009,570-3
- interest, (a)
Generals Two questions will tie asked in determinin; Wther actual or (1) potential organizational confitets of interest exist:
Are there conflicting roles which might bias an (i) d offeror's or contractor's judgment in relation to its work for the NRC7 m
(ii) May the offeror or contractor be given an unfair competitive advantage based on the performance of the contract?
NRC's ultimate determination that organt2ational conflicts (2) of interest exist will be made in light of conrnon sense and good business While it is difficult to identify anc judgment based upon the relevant facts.
to prescribe in advance a specific method for avoiding 211 of the various situations or relationships that mtpht involve potential organizational conflicts of interest, NRC personnel will pay particular attention to proposed contractual requirements that call for the rendering of advice, consultatton or evaluation activities, or stattar activities that directly lay the groundwork for the NRC's decisions on regulatory activities, future l
procurements, and research programs. Any work performed at an apnlicant or licensee site will also be closely scrutinized by the Nhc staff.
(b)
Situations Sr ralationshios. The following situations or relationships m4y give rise to organize:ional conflicts of interest *
)
I (1), The offeror or contractor shall disclose information, that y
may give rise to organizational conflicts of interest under the following circumstances. The informatton may include the scooe of work or specification for the requirement, being performed, the period of performance, and the name and telephone number for a potnt of contact at the organization knowledgeable about the comeretal contract.
(i)
Where the offeror or contractor provides advice and I
recomendations to the NRC in the same technical area where it is f
also providing consulting assistance to any organization regulated by the NRC, (ii) Where the offeror or contractor provides advice to the NRC on the same or similar matter on which it is also providing assistance to any t,rganization regulated by the NRC.
(iii) Where the offeror or contractor evaluates its own products or services, or has been substantially involved in the development or marketinr1 of the products or services of another
- entity, t
(iv) Where the award of a contract would result in placing the offeror or contractor in a conflicting role in which its judgment may be biased in relation to its work for the NRC, or wouldresultinanunfaircompetitiveadvantagefortheofferoror contractor.
(v)
Where the offeror or contractor solicits or performs work at an applicant or litersee site while performing work in the same technical area for the NRC at the same site.
(2)
The contracting officer may request specific information from an offeror or contractor or may require special contract clauses such as provided in $2009.570-5(b) in the following circumstances:
(i)
Where the offeror or contractor prepares specifications that are to be used in competitive procurements o' l
products or services covered by the specifications.
(11) Where the offeror or contractor prepares plans for specific approaches or methodologies that are to be incorporated into competitive procurements using the approaches or methcdologies.
(iii) Where the offeror or contractor is granted access to information not available to the public concerning NRC plans, policies, or programs that could form the basis for a later procurement action.
(iv) Where the offeror or contractor is granted access to proprietary information of its competitors.
(v)
Where the award of a contract might resulitin placing the. offeror or contractor in a conflicting role in which its i
judgment may be biased in relation to its work for the NRC or might result in an unfair competitive advantage for the offeror or contractor.
(c)
Policy acolication outdance.
The following examples are illustrative only and are not Intended to identify and resolve all contractor organizational conflict of interest situatione.
(1)
(1)
Eramole. The ABC Corp., in response to a Request For Proposal (RFP), proposes to undertakk certain analyses of a reactor component as called for in the RFP. The ABC Corp. is one of several companies considered to be technically well Qualified.
In response to the inquiry in the RFP, the ABC Corp. advises that it is currently perfoming similar analyses for the reactor manufacturer.
(ii) Guidance. An NRC contract for that particular work normally would nnt t,t awardet' to the ABC Corp. because the company would t, placed in a* position.a which its judgment coulo be biased in relationship to its work for the NRC. Because there are other well-qualified companies available, there would be no reason for considering a waiver of the policy.
(2)
(i)
Examole. The ABC Corp., in resp 3nse to an RFP, proposes to perform certain analyses of a reactor component that is unique to one type of advanced reacter. As is the case with other technically qualified companies responding to the RFP, the ABC Corp. is performing various projects for several different utility clients. None of th? ABC Corp, projects have any relationship to the work called for in the RFP. Based on the NRC evaluation, the ABC Corp. is considered to be the best qualified company to perform the work outlined in the RFP.
(ii) Guidance. An NRC contract normally could be awarded to the ABC Corp, because no conflict of interest exists which
could motivate bias with respect to the work.
An appropriate clause would be included in the contract to preclude the ABC Corp.
from subsequently contracting for work with the private sector that could create a conflict during the performance of the NRC contract, fsr example, ABC Corp. would be precluded from the performance of similar work for the company developing the advanced reactor mentioned in the example.
(3)
(1)
Eramole. The ABC Corp., in response to a competitive RFP, submits a proposal to assist the NRC in revising NRC's guidance documents on the respiratory protection requirements of 0 CFR Part 20. ABC Corp. is the only fire detcrained to be l
technically acceptable. ABC Corp. has performed substantial work for regulated utilities in the past and is expected to continue similar efforts in the future.
The work has and will cover the l
writing, impi. mentation, and administration of compliance respiretory protection programs for nuclear power plants.
e l
(ii) Guidance. This situation would place the firm in a l
p role where its Juogment could be biased in relationship to its i
work for the NRC.
Because the aature of the required work is vitally important in terms of the NRC's responsibilities and no reasonable alternative exists, a waiver of the policy, in accordance with (2009.570-9 may be warranted.
Any waiver must be fully documented in accordance with the waiver provisions of this policy with particular attention to the establishment of protective mechanisms to guard against bias.
(4)
(1)
Example. The ABC Corp, submits a proposal for a new system to evaluate a specific reactor component's performance for tne purpose of developing standards that are important to the NRC program. The ABC Corp, has advised the NRC that it intends to sell the new system to industry once its practicability has been demonstrated. Other companies in this business are using older systems for evaluation of the specific reactor component.
(14 Guidang. A c mtract could be awarded to the ABC Corp. it the contract st.pulates that no information produceo under the contract will be used in the contractor's private activities unless this information has been reported to the NRC.
Data on how the reactor component performs, which is reported to the NRC by contractors, will normally be disseminated by the NRC to others to preclude an unfair competitive advantage. When the NRC furnishes information about the reactor component to the con-tractor for the performance of contracted work, the information may not be used in the contractor's private activities unhss the information is generally available to others, rurther, the couract will stipulate that the contractor will inform the NRC contracting officer of all situations in which the infcrmation, developed about the perforwance of the reactor component under the contract, is proposed to be used.
(5)
(i)
Examole. The ABC Corp., in response to a RFP, proposes to assemble a map showing certain seismological features
of tne Appalachian fold belt.
In accordance with the representation in the RFP and (2009.570-3(b)(1)(1), ABC Corp.
informs the NRC that it is presently doing seismological studies for several utilities in the eastern United States, but none of the sites are within the geographic area contemplated by the NRC study.
(11) Guidance. The contracting officer would normally conclude that award of a contract would not place ABC Corp. in a conflicting role where its judgment might be biased.
Section 2052.209-73(c) Work for Others, would preclude ABC Corp. from
)
accepting work which could :reate a conflict of interest during l
the tem of the NRC contract.
(6)
(1)
Examole. A0 Division of ABC Corp., in response to a RFP, sut,atts a proposal to assist the NRC in the safety and environmental revtew of applications for licenses for the construction, operation and decommissioning of fuel cyhle facilities. ABC Corp. is divided into d.c :eparate and distinct divisions, AD and BC. The BC Division performs the same or similar services for industry. Th: BC Division is currently pro-viding the same or similar services eequired under the NRC's contract for an applicant or licenset.
(ii) Guidance An NRC contract for that particular work would not be awarded to the ABC Corp.
Ine A0 Division could be placed in a position to pass judgment on work performed by the BC Division, which could bias its work for NRC.
Further, the Conflict of interest provisions apply to ABC Corp. and not to separate or distinct divisions within the company, if no reasonable alternative exists, a waiver of the policy could be sought in accordance with $2009.570-9.
7(i) EXAMPLE The ABC Corp. completes an analysis for NRC of steam generator tube leaks at one of a utility's six sites. Three months later, ABC Corp, is asked by this utility to perform the same analyst. P another.of.ts 59tes.
(ii) GUIDANCE $205'.290-73(c)(3) would nrohibit the contractor from beginning this work for the utility until one year af ter completion of the NRC work at the first site.
8(i) EXAMPLE ABC Corp. is assisting NRC in a major on-site analysis of a utility's redesign of the common areas between its twin reactors. The contract is for two years with an estimated value of $5 million. Near the completion of the NRC work, ABC Corp. requests authority to solicit for a $100K contract with the same utility to transport spent fuel to a disposal site, ABC Corp is performing no other work for the utility.
(ii) GUIDANCE The Contracting Officer, would allow the contractor to proceed with the solicitation because A) it is not in the same technical area as the NRC work and B) the potential for technical bias by the contractor because of financial ties to
the utility is slight due to the relative value of the two contracts.
9(1) EXAMPLE The ABC Corp is constru: ting a turbine building and installing new turbines at a reactor site.
The contract with the utility is for five years and has a total value of $100 million.
ABC Corp. has responded to an NRC Request for Proposal requiring the contractor to participate in a major team inspection unrelateo to the turbine work at the same site.
The estimated value of the contract is $75K.
(ii) GUIDANCE An NRC contract would not normally be awarded to ABC Corp. since these factors create tha. potential for financial loyalty to the utility that may bias the technical judgment of the contractor.
(d)
Ot'er considerations.
(1)* The fact that the NRC can identify and later avoid.
l*
eliminate, or neutralize any potential organizational conflicts arising from the performance of a contract is not relevant to a determination of the existence of conflicts prior to the award of a contract.
(2)
It is not relevant that the contractor has the professional reputation of being able to resist temptations which arise from organizational conflicts of interest, or that a follow-on procurement is not involved, or that a contract is awarded on a competitive or a sole source basis.
52009.570-4 Representation.
(a)
The following procedures are designed to assist the NRC contracting officer in determining whether situations or relationships exist which may constitute organizational conflicts of interest with respect to a particular offeror or contractor. The procedures apply to small purchases meeting the criteria stated in the following paragraph (b) of this section.
(b)
The ors nizatir al conflitts of 'nterest representa' ion provision at 12052.209-72 must be included in solicitations and unsolicited proposals.-
(incluoing those for task orders nd modifications for new work) for:
(1)
Evaluattoe services or activities; (2)
Technical consulting and management suppot t services; (3)
Research; and (4)
Other contractual situations where special organizational conflicts of interest-provisions are noted in the solicitation and would be included in the resulting contract. This representation requirement also applies to all modifications for additional effort under the contract except those issued under the ' Changes
- clause. Where, however, a statement of the type required by the organizational conflicts of interest representation provisions has previously been submitted with regard to the contract being modified, only an updating of the statement is required.
1 AM B* hm00'. i *w t
i Unclassified Contractor and I
Grantee Publications in the NUREG Series
~*
- ~::: T :.: ~2a^r".;.n.-.-
l
- 23~~* war:n~1.:1.2>c:
- Handbook i
e (Formerly QQ
?
Appendix 3202) Q s U
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(
+v
,,,w._
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V:lume 3, Itrt 1 - Public-tions, M:ll, end Information Discl:sure Unclassified Contractor and Grantee Publications in the NUREG Series
+
Directive 3.8 Contents Policy.................................................................
1 O bj ec t i ves............................................................
1 Organizational Responsibilities and Delegations of Authority............
2 Executive Director for Operations (EDO)................................
2 i
l Deputy Executive Director for Nuclear Reactor Regulation, Regional l
Operations and Research (DEDR)......................................
2 Deputy Executive Director for Nuclear ' Sterials Safety, Safeguards, and Operations Support (DEDS)........................................
3 O ffi ce Di re ct o rs......................................................
3 Director, Office of Administration (ADM)................................
4 Director, Division of Freedom of Information and Publications Services, (DFIPS), ADM................
4 Director. Division of Contracts (DC), ADM..............................
4 A p p li ca b ili t y..........................................................
5 E m pl oy e e s..........................................................
5 O th e r P u bli ca ti o r.s...................................................
5 H a n d b oo k............................................................
5 Re fe re n ce s...........................................................
5 Approved: June 17,1991 (Revised: July 9,1995)
"3
g
- b. b. ALIClear Regttiatory LommlSS10n i
a ) Volume: 3 Information hianagement
%,,..... f Part:
1 Publications, hiail, and Information Disclosure ADh1 Unclassified Contractor and Grantee Publications in the NUREG Series Directive 3.8 Policy i
(3.8-01)
U.S. Nuclear Regulatory Commission policy requires that the following publications published by NRC adhere to the documentation and production requirements, standards. and practices specified in this directive and handbook: (1) unclassified NRC contractor, consultant, or grantee formal reports, books, and international agreement reports in the NUREG/CR (contractor reports), NUIEG /G R (grant reports), and NUREG /lA (international agreement reports) series:(2) reports and books by contractors of the U.S. Department of EnerEy (DOE): and (3) publications prepared for NRC under rnemoranda of understanding and interagency agreements.
Objectives (3.8-02)
To ensure the production and dissemination of information and publications as required by the Energy Reorganization Act of 1974 and the Freedom of Information Act. (a)
To ensure technical staff and management reviews of formal reports and books before publication. (b)
- To ensure that national security, patent rights, copyrights, proprietary rights. and rights in other sensitive unclassified information, including those specified in interagency and international agreements and memoranda of understanding, are not compromised by the release or publication of information by NRC. (c)
Approved: June 17,1991 (Revised: July 9,1995) 1
V:lume 3, Part 1 - Publicati:ns, M:ll, cnd Inf:rmati:n Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Directive 3.8 Objectives (3.8-02) (continued)
To ensure that all unclassified NRC contractor or grantee e
publications in the NUREG series carry the registered Government identification NUREG/CR-0000, NUREG/
GR-0000, or NUREG/IA-0000, with the exception of some publications prepared by grantees, and indicate the availability of source material used in these publications. (d)
To ensure that NRC-sponsored book manuscripts receive proper e
peer review from experts within and outside NRC. (e)
To provide uniform procedures for publishing formal reports and books prepared by NRC contractors or grantees. (f)
Organizational Responsibilities and Delegations of Authority (3.8-03)
Executive Director for Operations (EDO)
(031)
Delegates to the Der.. i +ctative Directors for Operation decisionmaking authority for '..,: resolution of differences between NRC and contractors about the contents of publications, about granting contractors permission to publish NRC-sponsored information in the open literature, and about permitting contractors to issue press or other media releases conceming NRC-sponsored information.
Deputy Executive Director for Nuclear Reactor Regulation, Regional Operations and Research (DEDR)
(032)
As delegated from the EDO, makes final decisions in the following areas for the Office of Nuclear Reactor Regulation, the Office of Nuclear Regulatory Research, and regional offices:
When an office director refuses to publish an NRC-sponsored document because of irreconcilable differences between himself or herself and the author about thc contents of the document. (a)
Approved: June 17,1991 2
(Revised: July 9,1995)
V:lutne 3, Part 1 - Publicati:ns, htil, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Directive 3.8 Deputy Executive Director for Nuclear Reactor Regulation, Regional Operations and Research (DEDR)
(032)(continued)
When an office director refuses to permit a contractor's principal investigator to publish NRC-sponsored information in the open literature. (b)
When an office director refuses to permit a contractor to issue a press or other media release about an NRC-sponsored publication. (c)
Deputy Executive Director for Nuclear Materials Safety, Safeguards, 5
and Operations Support (DEDS)
(033)
As delegated from the EDO, makes final decisions in the following areas for the offices reponing to the DEDS:
When an office director refuses to publish an NRC-sponsored document because of irreconcilable differences between himself or herself and the author about the contents of the document, (a)
When an office director refuses to permit a contractor's principal investigator to publish NRC-sponsored information in the open literature (b)
When an office director refuses to permit a contractor to issue a press or other media release about an NRC-sponsored publication. (c)
Office Directors (034)
Ensure that publications will be reviewed in draft for acceptability before final printing and distribution by determining that they are consistent with agency policy, management decisions, and that they raise no significant legal issues. (a) e Ensure that statements of work on contracts
- include a requirement that contractors comply with this directive and handbook and with Government Printing and Binding Regulations. (b)
- Contract
- in this cootext enecapanes the standard order fot doe Work * (NRC Forin 173), interagency and internanonal agreements, ud sruis.
Approved: June 17,1991 (Revised: July 9,1995) 3
Volume 3, Part 1 - Publict.tions, htil, and Inf:rmati:n Discl:sure Unclassified Contractor and Grantee Publications in the NUREG Series
. Directive 3.8 Omce Directors (034)(continued)
Sign, or delegate signature authonty for, the NRC Form 426A, e
" Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports" (Exhibit 1 of Handbook 3.8),
and for memoranda requesting reprints of contractor publications. (c)
Director, Omce of Administration (ADM)
(035)
As delegated from the DEDS, administers NRC's programs and policies for publishing unclassified contractor and grantee reports and books in the NUREG series.
Director, Dhision of Freedom of Information and Publications Services,(DFIPS), ADM (036)
Develops and administers, as delegated from the Director, ADM, NRC's program and policies for publishing unclassified contractor, consultant, and grantee formal reports, books, and interaational agreement reports in the NUREG/CR, NUREG/GR, and NUREG/IA series. (a)
Applies the policy, procedures, standards, and guides for the documentation, formatting, composition,
- printing, and dissemination of NRC-sponsored publications in the NUREG series consistent with the mission of the agency and in accordance with the requirements of the Government Printing and Binding Regulations issued by the Joint Cormnittee on Printing, U.S.
Congress. (b)
Develops and administers the central agency publication e
numbering system for identifying, producing, and retrieving unclassi5ed NRC-sponsored publications in the NUREG series. (c)
Director, Division of Contracts (DC), ADM (037)
Ensures that those requests for proposals, irwitations for bids, and grant proposals, and the ensuing contracts and grants that require Approved: June 17,1991 4
(Revised: July 9,1995)
Volum] 3, Part 1 - Publicati:ns, MAN, and InforrNa'i:n Disclosure t
Unclassified Contractor and Grantee Publications in the NUREG Series Directive 3,8
+
b Director, Division of Contracts (DC), ADM (037)(continued) publications as deliverables include provisions requiring that contractors comply with this directive and handbook and with Government Printing and Binding Regulations.
Applicability (3.8-04)
Employees (041)
All NRC employees shall follow the policy and guidance specified in this directive and handbook.
Other Publications (042)
The provisions of this directive and handbook do not apply to NRC staff publications in the NUREG series, NRC docket material, or documents created by NRC boards, panels, advisory committees, or offices that report to the Commission.
Handbook (3.8-05)
Handbook 3.8 gives detailed guidelines for preparing unclassified contractor and grantee publications in the NUREG series.
References (3.8-06)
A Manual of Style, University of Chicago Press.
Atomic Energy Act of 1954, as amended (42 U.S.C. 2011 et seq.).
" Copyrights " Title 17, United States Code.
" Cost Principles for State and l_ocal Governments," C.'m Circular A-87, Office of Management and Budget, January 1984.
Energy Reorganization Act of 1974, as amended (42 U.S.C. 5801 et seq.).
Approved: June 17,1991 (Revised: July 9,1995) 5
v:!ume a, tacrt 1 - Pubinations, Mail, and initrinatirn Disclosure Unclassified Centrcct:r end Grantee Publications in the NUREG Series Directive 3.8 References (3.8-06)(continued)
" Federal Grant and Cooperative Agreement Act," Pub. L 95-224, February 3,1978.
" Federal Regulation Requirements," Executive Order 12291, February 17,1981 (5 U.S.C. 5601 Note).
Freedom of Information Act (5 U.S.C. 552).
Government Printing and Binding Regulations, Pub. L 101-9, February 1990.
" Grants and Agreements With Institutions of Iligher Education, Hospitals, and Other Nonprofit Organizations," OhfD Circular A-110. Office of Management and Budget, July 1976, hiemorandum of Understanding Between the Department of Energy and the U.S. Nuclear Regulatory Commission, February 24,1978.
hiemorandum of Agreement Between the Institute of Nuclear Power Operations and the U.S. Nuclear Regulatory Commission, dated September 17,1993.
NRC hianagement Directive 3.9, "NRC Staff and Contractor Speeches, Papers, and Journal Articles on Regulatory and Technical Subjects."
3.11. " Conferences and Conference Proceedings."
12.2, "NRC Classified Information Security Program."
- 12.6, "NRC Sensitive Unclassified Information Security Program."
NUREG-0650, Revision 1, " Publishing Documents in the NUREG Series," November 1990.
NUREG/BR-0075, Revision 2, "NRC Field Policy hianual," Field Policy hianual No. 9, dated hiarch 22,1993.
"Public Printing and Documents," Title 44, Chapter 3, Government Printing Office, United States Code.
U.S. Govemment Printing Office Style Manual,1984.
Approved: June 17,1991 6
(Revised: July 9,1995)
Unclassified Contractor and Grantee Publications in the NUREG Series
=
_=-
Handbook 3.8
Wlume 3, Pcrt 1 - Publicati:ns, Mail, cnd inf:rmation Disclesure Unclassified Contractor and Grantee Publications in the NUREG Series Ilandbook 3.8 Parts 1 - VI Contents Part I I n t rod u c t i o n..........................................................
1 Part II Preparing Publication Requirements for Statements of Work for Co n t ra c t s..........................................................
2 Specifying Publication Requirements (A)..................................
2 Publishing Formal Reports (B)..........................................
2 Publishing Unclassified Information in the Open Literature and Presenting Pa p e rs ( C)......................................................
4 Reports Containing Sensitive Unclassified and Classified Information (D).......
6 Conference and Workshop Proceedings (E)................................
7 Distribution of Reports to Contractors (F)................................
7 Coordinating Contractor Press or Other Media Releases of Information (G)....
7 Part III Draft and Final NUREG Reports......................................
8 Identification Information (A)...........................................
8 NU REG N u mbe r (1)..............................................
8 Au thors' N ames (2)...............................................
8 Organizational Identification (3).....................................
9 Previous Reports in Series (4).......................................
9 Re po rt D a t e s (S)..................................................
9 Report Organization and Components (B)................................
9 Pre-Publication Reviews (C)............................................
9 Pat e nt Resi ew (1 ).................................................
9 Se cu ri ty Revi ew (2)...............................................
10 Copyright Review (3)..............................................
10 Col or Printi ng (D)....................................................
10 M i cro fi ch e (E)......................................................
12 Discl aim e rs (F).......................................................
13 Approved: Jurie 17,1991 (Revised: July 9,1995)
IH i
nmi
V:lume 3, Pcrt 1 - Publications, Mail, and inf:rmation Discl:sure Unclassified Contractor and Grantee Publications in the NUREG Series llandbook 3.8 Parts 1 - VI Contents (continued)
Part III (continued)
Availability wormation (G)............................................
13 Reference Ma terial (1).............................................
13 Rep o rts (2)......................................................
14 Fo rms ( I I )........................................................... 14 Bibliographic Data Sheet (NRC Form 335) (1).........................
14 Release To Publish Unclassified NRC Contractor Consultant, or Conference Proceedings Reports (NRC Form 426A) (2)..............
14 Printing and Reprinting (I).............................................
15 Di stri b u ti o n (J ).......................................................
15 Part IV international Agreement Reports......................................
16 Background and Rationale (A)..........................................
16 Identification Information (B)...........................................
16 Cove r a n d Ti d e Pa g e ( 1 )...........................................
16 NRC Report Numbe r (2)...........................................
16 Previous Reports in Series (3).......................................
17 Report Organization and Components (C)................................
17 Availability Information (D)............................................
17 References and Bibliographies (1)...................................
17 Repo rts (2)......................................................
18 Discl ai m e r (E).......................................................
18 Fo r ; ( F)...........................................................
19 Bibliographic Data Sheet (NRC Form 335) (1).........................
19 Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports (NRC Form 426A) (2)..............
19 Classified or Sensitive Unclassified Information (G).........................
19 Approved: June 17,1991 IV (Revised: July 9,1995)
Volume 3, Part 1 - Publications, htil, and Infortnition Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series
+
Ilandbook 3.8 Parts 1 - VI Contents (continued)
Part V Books.................................................................
20 G e n e ra l ( A)......................................................... 20 D e fi niti on ( B)........................................................ 20 Fo rm a t (C).......................................................... 20 NRC Document Number (D)........................................... 21 Availability of Reference Materials (E)................................... 21 R e vi e ws ( F).......................................................... 22 Pe e r ( 1 )......................................................... 22 Copyrigh t (2 ).................................................... 23 i
S e cu ri ty ( 3 )...................................................... 23 Pa t e n t ( 4 )....................................................... 23 Publishing Authorization Form (G)...................
23 D isclai m e rs (H )...................................................... 23 Printi n g (1).......................................................... 24 Distribution and Sales (J).............................................. 24 Part VI G rant P ublications.................................................... 25 Background and Rationale (A).......................................... 25 Publica tion of Results (D).............................................. 25 P u bli ca ti o n by NRC ( 1 )............................................ 25 Publication by a G rantee (2)........................................ 25 Publication by a Grantee in the Open Literature (3).................... 25 Reprints of Open Literature Publications (4)........................... 27 Identification Information (C)........................................... 27 Pre-Publication Reviews (D)............................................ 27 G l o s s a ry.....................................................
28 Approved: June 17,1991 (Revised: July 9,1995)
V
.... m.
.,,... u, u..... u... v u -.~...
Unclassified Contractor and Grantee Publicati:ns in the NUREG Series llandbook 3.8 Parts I - VI Contents (continued)
Exhibits
- 1. NRC Form 426A. " Release to Publish Unclassified NRC Contractor.
)
Consultant, or Conference Proceedings Reports"........................
32
- 2. NRC Form 335. " Bibliographic Data Sheet"............................
33
- 3. werosche sheet sample...........................................
35 Approved: June 17,1991 vi (Revised: July 9,1995)
Volume 3, Part 1 - Publications, Mail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part i Part I Introduction l
This handbook necifies the procedures that the Nuclear Regulatory l
Commission (NRC) contractors and grantees need to follow when preparing the following publications for the NRC: (A)
/
Final NUREG reports (1) e International agreement reports (2) o Books (3) e Grant publications (4) e The handbook is disided into six major parts and includes a glossary and exhibits. Part 11 provides general information for staff consideration in preparing statements of work. Parts III,IV, V, and VI provide publishing guidelines specific to, respectively, contractor reports, international agreement reports, books, and grantee publications. (B)
Contractor means a private contractor, consultant, expert, another State or Federal agency working under an interagency agreement, or a Department of Energy (DOE) facility or subcontractor, such as a nationallaboratory, working under the DOE /NRC Memorandum of Understanding of Febntary 24,1978, and any subcontractors of these organizations. (C)
This directive and handbook, as well as a copy of " Publishing Documents in the NUREG Series"(NUREG-0650, Revision 1), must be included or referenced in all contracts, interagency and international agreements, and grants for which the publications previously listed are contract deliverables or grant obligations. In addition to the guidelines specific to each type of publication that appear in subsequent parts of this handbook, all statements of work must contain the applicable guidelines outlined in Part 11. (D)
Approved: June 17,1991 (Revised: July 9,1995) 1
4 V:lume 3, Pcrt 1 - Publications. Mail, cnd Inform tion Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series IIandbook 3.8 Part 11 Part II Prep'aring Publication Requirements for Statements of Work for Contracts Specifying Publication Requirements (A)
List and describe the type of technical reports required from each project, task, or subtask, as applicable, State when, how many, and to
}
whom the reports should be submitted and the tcope of information they should contain. These reports may be unclassified, sensitive unclassified, or classified. For guidelines and requirements covering sensitive unclassified and classified publications, refer to Management Directive (MD) 12.2, "NRC Classified Information Security Program," and MD 12.6, "NRC Sensitive Uncle.ssified Information Security Program." (1)
This directive and handbook pertain to publications that will be issued in the NUREG/CR, NUREG/lA, and NUREG/GR series. (2)
Publishing Formal Reports (n)
NUREG series reports will be printed and distributed by NRC from camera-ready copy submitted by the contractor to the Publications Branch, Mailstop T-6 E7, U.S. Nuclear Regulatory Commission.
\\Wshington, DC 20555-0001. The camera-ready copy is to be prepared in accordance with the provisions of this handbook.
Recommended guidelines for the organization and Mrmat of formal reports are speci5ed in " Publishing Documents in the b1) REG Series (NUREG-0650, Revision 1). (1)
When the report contains sensitive unclassi6ed or classified information, the contractor must comply with MD 12.2. (2)
Approved: June 17,1991 2
(Revised: July 9,1995)
V:lume 3, Part 1 - Publicati:ns, M:ll, and Inf:rmati:n Discl:sure Unclassified Contractor and Grantee Publications in the NUREG Series l
Handbook 3.8 Part 11 Publishing Formal Reports (a)(continued) l If a draft is desired before completing a final report, specify in the statement of work (SOW) the due date for delivering the final camera-ready copy after receiving comments from NRC staff or participants (if applicable) on the draft. State that all draft material be submitted to the cognizant NRC contact. (3)
When the contractor is to submit draft material for comment before preparing the final report, state that the contractor will be asked to make changes if there are comments from NRC staff or panicipants. If agreement on the changes is reached, tne NRC contact will authorize the contractor to prepare the final copy and submit it to the NRC contact ifit is a letter report or input to a Safety Evaluation Report or an Emironmental Statement, or to the Director, Division of Freedom of Information and Publications Services (DFIPS) if it is a camera-ready copy for printing and disuibution. This procedure will ensure proper publication, handling, distribution and, among other things, preclude further changes that might nullify the agreement. (4)
If special caveats were agreed to between the contractoiand the NRC contact, the ?veats should accompany the NRC Form 426A I
(Exhibit 1) fo, pproval when it is sent to the NRC contact. A copy of special caveats should also accompany the camera-ready copy sent to DFIPS. (5)
It agreement on changes to a formal technical report to be issued in the NUREG/CR series is not reached, the NRC contact may request the contractor to prepare the camera-ready copy with, in addition to the standard disclaimer required on all contractor formal reports (see Section (F), Part III of this handbook), any caveats deemed necessary to cover NRC objections. These caveats may range from "The siews expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission" to the addition of a preface setting forth the NRC opinion or footnotes at appropriate locations within the text. (6)
If NRC objections cannot be covered in this manner, NRC can refuse to publish the report. In the case of DOE /nationallaboratory reports, the DOE Operations Office Manager responsible for the laboratory should be informed by the NRC office director or regional administrator of the decision and the reasons therefor. A copy of the decision should be sent to the laboratory director. In the case of another Federal agency, a State, or a private contractor, the person who entered into the contract should similarly be informed by the Approved: June 17,1991 (Revised: July 9,1995) 3
V:lume 3, Pcrt 1 - Publications, M:ll, cnd information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series
, llandbook 3.8 Part II Publishing Formal Reports (n)(enniinued)
NRC contracting officet The connactor is then free to publish the report without identifying NRC as the funding sponsor of the report and without the NRC disclaimer. Decisions by the office director or designee may be appealed to the appropriate Deputy Executive Director for Operations. (7)
Publishing Unclassified Information in the Open Literature and Presenting Papers (C)
Specify whether the contractor's principal investigator is permitted to publish in the open literature instead of submitting a final report and/or to present papers at public or association meetings during the course of the work. If this arrangement is authorized, add the following statement to the SOW:(1)
(The principdimtstigaiohmay p$bliNt[the results of this work in.
lthe open literature instead of submitting a final report or may presentjapersiati public or' association meetingsfat interim stages of the wi(a,. [j;3 3 Aju,w If the NRC contact wants to review the paper or journal article before presentation or submission for publication, so state in the SOW, as follows:(2) n,-
-n.
n,,
(The principalinvestigatormay pobtish the results of this workin (ths open literature instead of sub'mitting a final' report or may.
presenti]sapers{atipublic orlassociationimeetings :attinterim
, stages of the workif the article'er paper hisheen reviewed by the NRC hontikt in draft form iuid' agreement has tsenitsched on
- thel content.idingMLgdi,a _b.
m ;
If agreement is not reached, NRC may also require that the paper include in addition to the standard statement " Work supported by the U.S. Nuclear Regulato"y Cenmisson," any caveats deemed necessary to cover NRC objecticns. If NRC oojections cannot be covered in this manner, NRC may refuse to authorize publication in the open literature and/or presentation of papers. (3)
In the latter case, NRC willinform the contractor of the decision, as previously stated. The contractor is then free to publish without identifyug NRC as the funding sponsor of the information. Decisions by office directors or designees may be appealed to the appropriate NRC Deputy Executive Director for Operations. (4)
Approved: June 17,1991 (Revised: July 9,1995) 4
V:lume 3, Part 1 - Publications, Mail, end Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series llandbook 3.8 Part 11 Publishing Unclassified Information in the Open Literature and Presenting Papers (C)(continued)
If the contractor proposes to publish in the open literature or present the infonnation at meetings in addition to submitting the required technical reports, approval of the proposed article or presentation should be obtained from NRC. NRC shall approve the material as submitted, approve it subject to NRC-suggested revisions. or l
disapprove it. In any event, NRC may disapprove or delay pr esentation of papers on information that is subject to the Commission's approval that has not been ruled upon or that has been disapproved. (5)
If the contractor requests permission to publish in the open literamr:
even though the contract does not explicitly provide for this type of publication, the contract can be modified to provide for such presentations. (6)
When the contractor submits journal articles for publication, each must be accompanied by the following statement: (7)
-m-,,,,,,
! he subnaitted manu,c, rip,t has been authored by a contractor of T
s lthe U.S! Givenunent ondeECdatract' No. -
- Accordingly, the iU.S.iGovensimentyhas3alnimezclusive, royalty-free license to jublistidreprediicEthEpublished form of this' contribution,or aMothyidojelfdS[Gojernment purposes.;
All published papers and articles must include the following disclaimer:(8)
--www,,,
m, JThis nport was.prepani,i as an account of work sponsored by
' l an agencyof the Unitui Staths Government. Neither the United iStates' Government nor; any agency thereof, nor, any.of their
^
{emp%[mak$any war;rantyiiexpressed orjimplied, or J assumes nany? legaliliabilityj or responsibility l for t any l third Tparty's3se'or thFresults ofisu'ch uss, of'any;infonnation, 2 apparatisfpralect{or;processidisclosed>inithis nport, or Erepresents thai its use by su' h third party would inot infringe c
privately owned rights.The views expressed.in this paper are not L necessarili those of the'U.S; Nuclear Regulatory l Commission.
_amm m m m..
ma-m w.
'For DOE work orders the appropnate job code number n applicable.
Approved: June 17,1991 (Revised: July 9,1995) 3
V:lume 3, Part 1 - Publicati:ns, Mill, end Inf:rm: tion Disclosure Unclassilled Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part II Publishing Unclassified Information in the Open Literature and Presenting Papers (C)(continued)
If the contractor is requested by the journal or other publisher to transfer the copyright, the contract author will respond to the journal or other publisher in writing in accord with the sample letter shown as follows:(9) l EUAldeifrigEIIEideri5a'sieE5"'
~ ~ "
~
krwAntly;receisedha doEnne^nbfdr signatskassignSg; l
! copyright and republiesti6n" rights in the Submitted article -
? (title) to (aanic of publication)?This letter is offered in lieu ofL j the; document..asi a means oficompletin'g; the transfer' of =
L ownershipkAccordingly,5e hereby cypressly Liransfer and assign our rights of ownership;in:the above-cited work to.
4 (name of publisher)1 den and advised; however, tlist thie $bove assignment and any l publicatien or republication of the.above-cited work is subject j to the following Govenunent rights: c
!w'snbelttal numuscript has been ' authored by a' contractor..
sw gy;gy.x
.s The fof:the;I1S%Govenianist under?Cantract No.2 fA'ecienling%6ti$$ablish7er reproduie abs publishedP Goserannent "has fal nonexclusivet:-
iniyalty fste licinsieWy U
! fenn^of this'cointribstion?'or allow others toldo so,ifor:U.s.;
LGovernmentpurposes.K <
"~
re
- 4 y
y pq % 4Q ji ];g '
sincerily,1 9
i Li Ndbd[EMbd$$dUmaa
.i.
.a.
If NRC approves open literature publication and page charges and travel costs are required for the presentation of papers, see MD 3.9, "NRC Staff and Contractor Speeches, Papers, and Journal Articles on Regulatory and Technical Subjects." (10)
Reports Containing Sensitive Unclassified and Classified Information (D)
Examples of the proper marking of reports designated Official Use Only, Umited Official Use, Proprietary Information, Safeguards Informaticn, and classified (CONFIDENT 1AI., SECRET, and TOP SECRET) are specified in MD 12.2.
Approved: June 17,1991 6
(Revised: July 9,1995)
Volume 3, Part 1 - Publications, Mail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Ilandbook 3.8 Part 11 Conference and Workshop Proceedings (E)
If NRC approves publication of compilations of papers presented at NRC sponsored or cosponsored mer
..gs, conferences, and symposia, see MD 3.11," Conferences and Conference Proceedings."
Distribution of Reports to Contractors (F)
Up to 50 copies of printed unclassified NUREG/CR, NUREG/GR, and NUREG/IA reports will be bulk shipped to the contractor by NRC, (The Joint Committee on Printing's Govemment Printing and Binding Regulations permit contractors to receive free of charge up to 50 copies of reports they have produced for NRC.)If fewer than 50 copies are needed, indicate the desired quantity on NRC Form 426A (Exhibit 1). Contractors requesting single copies for specific individuals in organizations other than the contractor's organization who are not included in the distribution requested by the NRC contact may address such a request, with written justification, to the NRC contact. If the additional distribution is appr oved by the NRC contact, the contractor shall send address labels with the camera-ready copy to the Publications Branch, DFIPS, USNRC, \\Wshington, DC 20555-0001, and that distribution will be made along with the standard distribution.
Coordinating Contractor Press or Other Media Releases of Information (c)
A contractor may request permission to issue a press or other media release on the work being done. That request must be made to the NRC office director or designee, who will consult with the staff of the Office of Public Affairs. The contractor must not issue a press release on nonroutine information without this prior approval. This approval may be obtained by a telephone call to the offce director or designee to expedite the request. The contractor may appeal decisions not to authorize the release ofinformation or delays in handling the request to the appropriate Deputy Executive Director for Operations, Approved: June 17,1991 7
- (Revised: July 9,1995)
Wlume 3, Itrt 1 - Publications, Mail, and Information Disclosure Unclassilled Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part III Part III Draft and Final NUREG Reports Identification Information (A)
NUREG Number (1)
Each contractor report published by NRC must be identified by a unique alphanumeric designation controlled and maintained by the Division of Freedom of Information and Publications Services (DFIPS). To obtain an NRC report number, call the Publications Branch, DFIPS, at (301) 415-7008. (a)
The NRC identification numbers will have one of the following l
lorms:(b) l l
NUREG/CR-0000 NUREG/GR-0000 NUREG/IA-0000 CR indicates contractor report, GR indicates grant report, and 1A indicates international agreement report. The contractor report number, if any, will be placed below the NUREG number on the title page and cover. (c)
Whers a report consists of more than one volume or binding, or is issued in more than one edition, an appronriate volume, number, supplement, part, addendum, or revision uesignation must appear immediately below the NRC report number and the contractor's repor* number, if any. (d)
Authors' Names (2)
Authors' names must appear on the report cover and title page, unless placing them there is icapractical, as for an annual report having many contributors. Editors or compilers with subject-area expertise may also be identified as wch on the cover and title page. The authors' 8
Approved: June 17,1991 (Revised: July 9,1995)
Vslume 3, Part 1 - Publications, Mail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Ilandbook 3.8 Part III J
Identification Information (A)(continued)
Authors' Names (2)(continued) affiliation need not be listed unless it differs from the organization creating the report.
Organizational identification (3)
The Publications Branch, DFIPS, prepares the covers and title pages for all reports and will list information about the organization that created the report as it is provided.
Previous Reports in Series (4)
If the report being prepared is one in an ongoing series, list all presious reports in the series. Include report numbers and issuance dates. Place this list on the back of the title page. If this list cannot be placed on a single page, place the pages at the end of the front matter rather than on the back of the title page.
Report Dates (5)
The report dates are shown on the title page. These dates include the month and year the report is completed and the month and year it is published.
Report Organization and Ccmponents (n)
The organization and components of contractor reports vary, depending on their purpose and scope. Recommended format and organizational guidelines appear in " Publishing Documents in the NUREG Series"(NUREG-0650, Revision 1). (1)
Each draft and final report prepared for NRC must include an abstract of 200 words or less that appears on a separate page preceding the table of contents.The abstract also must appear on the " Bibliographic Data Sheet," NRC Form 335 (Exhibit 2). Instructions for completing NRC Form 335 appear on the back of the form. Guidelines on the special writing requirements for preparing abstracts appear in Section 5.5 of NUREG-0650, Revision 1. (2)
Pre-Publication Reviews (C)
Patent Review (1)
Patent implications must be considered before approval of reports for public release so that disclosure will not adversely affect the patent Approved: June 17,1991 (Revised: July 9,1995) 9
V:lunn 3, Pc.rt 1 - Publicati:ns, Mail, and information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part HI -...
......=,...
Pre-Publication Reviews (enumtwied3 Patent Rninr 11)(conanued) rights of NRC ot the cout7aewr.11 the work being reported is contractually managed through another Government agency (e.g.,
DOE national laboratories), the contractor should request that Government agency to perform the patent review. The result of the review must be reported on NRC Form 426A under item 8 (see Exhibit 1). (a)
If NRC directly administers the contract, or the contractor is unable to obtain a patent clearance from the Government agency administering the contract, the reponsible NRC contracting officer must be consulted, and the mponsible NRC technical contact shall consider the patent implications. If the report does not require a patent resiew because the report does not contain any description of novel technical developments that may be of an inventive nature, mark "N/A" on the NRC Fonn 426A in the space for the Patent Counsel's signature. If a possibility exists that developments of an inventive nature are disclosed, the contracting officer shall request assistance from the NRC Assistaa General Counsel for Administration, Office of the General Counsel, on (301) 415-1553. (b)
Security Review (2)
If a report of sensitive unclassified or classified work is required, the NRC contact must work with the NRC Division of Security to establish the appropriate procedures and inform the contractor of these procedures through the contracting officer. The standards for marking and handling these reports are given in Management Directive (MD) 12.2, "NRC Classified Information Security Program."
Copyright Review (3)
Copyrighted material must not appear in NRC-sponsored publications without written permist. ion from the copyright holder.
See Section 3.4 of NUREG-0650, Revision 1, for information about obtaining copyright permission.
Color Printing (D)
Regulations issued by the Joint Committee on Printing (JCP) restrict the use of color in printed materials to those uses that are of demonstrable value. JCP regulations specify that " demonstrably valuable multicolor printing" includes the following categories: (1) 1 Approved: June 17,1991 10 (Revised: July 9,1995)
]
I
V:lume 3, P rt 1 - Publicati:ns, Mcil, cnd Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part III Color Printing (n)(continued)
Maps and technical diagrams for which additional color is e
necessary for clarity. (a)
Object identification (medical specimens, diseases, plants, flags, uniforms, etc.). (b)
Safety programs, fire prevention, savings bonds programs, and competitive areas of personnel recruiting. (c)
Areas wherein clearly identifiable savings in costs can be soundly predicated on multicolor use. (d)
Printing for programs required by law, whose relative success or e
failure is in direct ratio to the degree of public response, and for which that response can be logically attributable to the number of colors planned and the manner in which they are proposed to be used. (e)
Color for promotional or motivational purposes, such as programs e
concerning public health, safety, and consumer benefits, or to encourage utilization of Government facilities, such as programs for Social Security, Medicare, and certain areas of need for veterans. (f)
The regulations indicate that the following categories do not meet the
" demonstrable value" criteria:(2)
Printed items wherein additional color is used primarily for e
decorative effect. (a)
Printed items for which additional color is used primarily in lieu of effective layout and design. (b)
Printed items for which additional color is used excessively, that is, four colors when two or three will fulfill the need, three colors when two are adequate, two colors when one is adequate. (c)
Printed items wherein the inclusion of multicolor does not reflect careful, competent advance planning that recognizes the contribution that the use of color is expected to make to the ultimate end-purpose. (d) l 1
Approved: June 17,1991 (Revised: July 9,1995) 11
V:lume 3, Part 1 - Publications, M il, tnd Infcrm tion Discl:sure Unclassified Contractor and Grantee Publications in the NUREG Series
. Handbook 3.8 Part IH Color Printing (D)(continued)
If color printing is anticipated when the statement of work or standard order for DOE work is being prepared, contact the Publications Branch, DFIPS. Prior approval must be granted by the Director of DFIPS. If a requirement for color printing arises as the report is being prepared, submit a written justification for its use to the Director of DFIPS. (3)
Microfiche (E)
NRC contractors and DOE laboratories submitting micro 5che with reparts must submit a hard copy of each microfiche, include headers on each microfiche as shown in Exhibit 3, and conform to the following NRC specifications.*
Microfiche must conform to either the 24/98 format for source documents with 14 columns and 7 rows (reduction ratio of 1 to 24) or the 48/270 format for computer output microfilm with 18 columns and 15 rowa (reduction ratio of 1 to 48). (1)
The microfiche sheet must be standard 105 mm by 148 mm. (2)
The microfiche must be either a silver-halide master or a black or blue-black diazo placed in acid-free envelopes. (3)
The microfiche must contain headers as shown in the sample in e
Exhibit 3. Specifically, the Srst block of the header must contain the i!UREG number (include volume or revision, if applicable),
the contractor identification number, and the classi5 cation (e.g.,
unclassified, proprietary). The second block must contain the description of the microfiche and may include the contractor's name. The third block must contain the publication date and the sheet identi5 cation. (4)
The header information must be eye readable on a clear background. (5)
A foldout page must be microfilmed in sections if the page is too e
large to be microfilmed in a double frame. No less than 25-mm overlap of original material is acceptable. (6)
- With the exception of items (3). (4), and (8). these spect5 cations are consistent with the Amencan National Standards insutute " Standard for Micrographics-MicroSche, ANSI /AIIM MSS-1985."
tes of this standard are available from the American National Standards Institute. A
- Sales Depamnent.11 West 42nd Street.13th floor, New York, NY 10036 (212) 642-4900. or from the Association for Information and Image Management.
ATTN: Pubhcations Secuon,1100 Wayne Avenue, Silver Spnng. MD 20910 (301) 587-8202.
Approved: June 17,1991 12 (Revised: July 9,1995)
a Volume 3, Part 1 - Publications, Mail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part IU Microfiche (E)(continued).
=
The Erst frame must be blank (on the Srst sheet only), and the 3
second frame must contain the National Institute of Standards and Technology's (NIST's) Reference Material resolution target in Microcopy Test Charts (NBS SRM 1010A). (7)
Jacketed micro 6che is unacceptable, (8) e Disclaimers (F)
The following notice will be added by the Publications Branch, DFIPS, before the printing process on the inside front cover: (1) g~his nport was prepared as an account of werk sponsored by m,, pnmn mng,www_
g,-e mg pT an agency of the United States Gsvenunent. Neither the United
~
iStates GoYernmint norfanflsgency{thereof[norJanyior their
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Qassumes a,jnsak'est[sny}wariFantshyressed(briimp 7haployees nh legalsliabilityWnsponisibility i106 anyLthird fpany'stuse oFthdresultshof?such Ese20fiani;informationi c
Epn, a!Neodict@wa/disbliased[ini dappantu's proceirs g
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The branch will print the additional statement, "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission," below the standard disclaimer, if appropriate. Other qualifying statements may be added, if needed. (2)
Availability Information (G)
Reference Material (1)
Reports or other documents referenced in text, reference sections, bibliographies, and appendixes of unclassified regulatory and technical reports in the NUREG series must be available to the public either in the public domain (as in a public library, at the Government Printing Of6ce (GPO), at the National Technical Information Senice (NTIS), or at other reference or sales outlets) or in the NRC Public Document Room (PDR). This means that references should not be made to personal communications and inteniews, unpublished information and information with restricted distribution (e.g.,
proprietary, National Security, and Official Use Only). If the unretrievable information is important and unrestricted, quote it in Approved: June 17,1991 (Revised: July 9,1995) 13
V:lume 3, Pcrt 1 - Publications, M ll, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part HI Availability Information (G)(continued)
Reference Material (1)(conunued) the text or in footnotes. Provide any credit due to individuals in the text or in an acknowledgment section. Availability may be stated collectively for all entries. (a)
Although proprietary reports may not be included in a list of l
references, listing or identi5 cation of proprietary reports may be l
included in an appendix or in a separate listing following the reference I
section titled " Proprietary Sources of Information." (b)
In addition, reference to Institute of Nuclear Power Operations (INPO) documents may not be made without prior approval from INPO. Approval to reference INPO documents must be stated on the NRC Form 426A. (c)
Guidelines for developing and presenting reference material are provided in NUREG-0650, Revision 1. (d)
Reports (2)
Most final reports are sold by GPO and NTIS. A statement indicating this availability is added to each report, as appropriate, by the Publications Branch staff before the report is printed. (a)
Draft reports for which comments are requested are typically announced in the Federal Register as being available from the NRC.
These reports are not sold at GPO or at NTIS. (b)
Forms (u)
Bibliographic Data Sheet (NRC Form 335) (1)
All published N RC reports must include an NRC Form 335 as the final right-hand page of the manuscript. Instructions for completing the NRC Form 335 appear on the back of the form. A completed NRC Form 335 must be submitted to the Technical Publications Section, DFIPS, with the camera-ready copy of the report. Exhibit 2 shows a completed NRC Form 335.
Release To Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports (NRC Form 426A) (2)
The NRC contact must submit a completed NRC Form 426A (see Exhibit 1) with the camera-ready copy of the report to the Technical Publications Section, DFIPS. NRC Form 426A must be signed by the staff member designated by the appropriate office director.
Approved: June 17,1991 (Revised: July 9,1995) 14
V@lume 3, Part 1 - Publications, Mail, and Information Disclosure i
Unclassified Coniractor and Grantee Publications in the NUREG Series Handbook 3.8 Part Ill Printing and Reprinting (I) t The Publications Branch, DFIPS, will review the camera ready report i
submitted for printing for its adherence to the standards and l
requirements set forth in this directive and handbook, as well as any relevant guidelines from NUREG-0650, Revision 1. Unsatisfactory manuscripts will be returned to the NRC contractor for appropriate action. (1)
Submit a memorandum requesting a reprint to the Director, DFIPS, or designee, for approval. Include with the request a written justification and the approval of the office director or designee for reprinting. Also provide address labels for recipients not on NRC standard distribution lists. (2)
Distribution (J)
The Publications Branch, DFIPS, will arrange distribution for all copies of unclassified formal contractor reports in accordance with instructions on NRC Form 426A(Exhibit 1).The Publications Branch will also arrange automatic distribution of these reports to NRC NUDOCS, the NRC PDR, NTIS, GPO, and the GPO Federal Depository Library Program. (1)
Sensitive unclassified and classi6ed reports will be distributed by the NRC sponsoring office on a case-by-case basis. (2)
Approved: June 17,1991 (Revised: July 9,1995) 15
V:lume 3, Part 1 - Publicati:ns, M il, tnd Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part IV Part IV I,nternational Agreement Reports Background and Rationale (A)
NRC has cooperative nuclear safety research programs that involve either or both foreign governments and organizations and U.S.
industry. These programs include monetary contributions, information exchange, and comments on program plans and results as authorized in the Energy Reorganization Act of 1974. To this end, international and U.S. industry agreements have been signed that provide for transmitting unclassified technical information from foreign participants to NRC. These procedures apply only to NRC-managed work. (1) y The interests of all NRC international nuclear safety research program participants are served best by formal dissemination ofinformation on these programs or codes developed for or in cooperation with NRC. (2)
Identification Information (B)
Cover and Title Page (1)
The cover and title page will contain a title, a subtitle (if appropriate),
the names of the authors, the performing organization, and the NRC office sponsoring the project. The cover and title page will be prepared by the Publications Branch, Division of Freedom of Information and Publications Services (DFIPS).
NRC Report Number (2)
Each report must be identified by an NRC-controlled alphanumeric number as the prime number unique to that report. The cenuralized document control system for unique identification is maintained by DFIPS. Numbers may be obtained by calling the Publications Branch at (301) 415-7008. (a)
Approved: June 17,1991 16 (Revised: July 9,1995)
V:lume 3, P rt 1 - Publicati:ns, Mail, cnd Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part IV i
Identification Information (B)(continued)
NRC Report Number (2)(continued)
The NRC identification number will have the form "NUREG/IA-000," where IA indicates " international agreement."
The foreign participant's report number, if any, may be inserted below the NUREG number on the cover, if desired. (b)
When a report consists of more than one volume or binding or is issued in more than one edition, include an appropriate volume, number, supplement, part, addendum, or revision designation below the report number and the foreign participant's report number,if any. (c)
Previous Reports in Series (3)
If the report being prepared is one in an ongoing series, list all previous reports in the series. Include report numbers and issuance dates. Place l
this list on the back of the title page. If this list cannot be placed on a single page, place the pages at the end of the front matter rather than l
on the back of the title page.
l Report Organization and Components (c)
I The organization and components of cooperative agreement reports vary somewhat, depending on their purpose and scope. Each of these reports must include an abstract of 200 words or less that appears on a separate page before the table of contents. The abstract must also appear on the " Bibliographic Data Sheet," NRC Form 335 (Exhibit 2).
Instructions for completing NRC Form 335 appear on the back cf the form (Exhibit 2), Guidance on the special writing requirements for preparing abstracts appears in Section 5.5 of NUREG-0650, Resision 1.
Availability Information (D)
References and Bibliographies (1)
Reports or other documents referenced in text, reference sections, bibliographies, and appendixes of unclassified regulatory and technical reports in the NUREG series must be available to the public either in the public domain (as in a public library, at the Government Printing Office (GPO), at the National Technical Information Senice (NTIS), or at other referen;e or sales outlets) or in the NRC Public Document Room. This means that references should not be made to personal communications, inteniews, and unpublished information with restricted distribution (e.g., proprietary, National Security, Official Use Only). If the unretrievable information is important and Approved: June 17,1991 (Revised: July 9,1995) 17
I V:lutne 3, Part 1 - Publicati:ns, Mail, and Informati:n Disclosure Unclassified Contractor and Grantee Public ti ns in the NUREG Series Handbook 3.8 Part IV Availability Information (D)(continued)
References and Bibliographies (1) (continued) unrestricted, it can be quoted in the text, in footnotes, or in appendixes. If the title of a document containing proprietary information is unclassi6ed, it can also be quoted in the text or in a footnote. If credit is due to individuals, they can be mentioned in the text or in an acknowledgment section. Availability may be stated collectively for all entries. (a)
Although proprietary reports may not be included in a list of references, listing or identification of proprietary reports may be included in an appendix or in a separate listing following the reference section titled " Proprietary Sources of Information." (b)
In addition, reference to Institute of Nuclear Power Operations (INPO) documents may not be made without prior approval from INPO. Approval to reference INPO documents must be stated on the NRC Form 426A. (c)
Guidelines for developing and presenting reference material are provided in NUREG-0650, Revision 1. (d)
Reports (2)
These reports will be made available for sale by GPO and NTIS.
Disclaimer (E)
The following notice will be added by the Publications Branch, DFIPS, on the inside front cover before printing.
.>im ~ y
%wyanm ;NOTICEdkg.
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- This; report 3 wast prepased r unddsgg % xr
- anianternational7cooperativ Af
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- results! ofjaich'uss.iof any;mformaten.impparatus;~productior i
. Process disclosed;1:a this ireportioE~re'presentsjhsfits tiss by such ;
(third partywould infringepgowned rights 3 Approved: June 17,1991 18 (Revised: July 9,1995) 1
V:lume 3, Part 1 - Publications, Mail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part IV Forms (F)
Bibliographic Data Sheet (NRC Form 335) (1)
Submit a typed NRC Form 335 (Exhibit 2) with the camera-ready copy to the Technical Publications Section, DFIPS, as the final right-hand page.
Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports (NRC Form 426A)(2) hi NRC Form 426A (Exhibit 1) must be completed and signed by the office director or designee and submitted with the camera-ready copy of the report to the Technical Publications Section, DFIPS.
Classified or Sensitive Unclassified Information (c)
The NRC contact should refer to Management Directive 12.2 or call the Division of Security for answers to questions about the status of classified or sensitive unclassified information in NUREG/lA reports.
Approved: June 17,1991 (Revised: July 9,1995) 19
Volume 3, Part 1 - Publications, Mail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 hrt V Part V Books General (A)
These guidelines apply to books written by contractors and grantees that are printed by NRC. See Part VI of this handbook for guidance on publications, including books, by grantees.
Definition (B)
A book refers to a publication intended as a permanent reference or as a textbook or major critical review of a technical or regulatory topic.
Format (C)
Books are usually 6 by 9 inches in trim size, but size will be based on requirements such as ease of use and legibility for graphics, foldouts, and the like. The binding (casebound or paperback) will be chosen according to the need for durability. Additional guidance on manuscript preparations can be found in the U.S. Govemment Printing Office Style Afanual and the Chicago University's A hianual of Style.
Refer also to NRC's " Publishing Documents in the NUREG Series" (NUREG-0650, Revision 1). (1)
The contractor snall submit to the NRC project manager the typeset (photocomposed) manuscript suitable for printing. The NRC contact shall submit the manuscript to the Chief, Publications Branch, Division of Freedom of Information and Publications Senices, (DFIPS), where it will be reviewed for adherence to the standards set forth and referenced in this directive and handbook. The manuscript will also be reviewed for printing acceptability by the Printing and Mail Senices Branch, DFIPS. Unsatisfactory manuscripts will be reported to the NRC contact for appropriate contractual action by the $RC contracting officer or, in the case of Government agency or interagency agreement work, the publications manager of the performing organization. (2)
~
Approved: June 17,1991 20 (Resised: July 9,1995)
V:lutne 3, Part 1 - Publications, Mail, and Infortnation Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part V Format (C)(continued)
DFIPS will approve the design of the cover and title page containing appropriate information concerning-(3)
Authors' names (a)
Organizational identification (b)
Public availability and sales (c)
All books must include a comprehensive subject index of the book's contents, unless the book is made up almost exclusively of graphical or tabular matter. See NUREG-0650, or The Chicago Manual Style (13th ed.) for guidelines on creating an index. (4)
NRC Document Number (D)
Each book must be identified by an NRC-controlled alphanumeric code unique to that book. The alphanumeric code will have the form NUREG/CR for books prepared by contractors and NUREG/GR for books prepared by grantees. (1)
When a book consists of more than one volume or binding, or is issued in more than one edition, include an appropriate volume, number, supplement, part, addendum, or revision designation directly below the document number. (2)
Numbers are assigned by the Publications Branch, DFIPS. The number may be obtained before the manuscript is submitted to DFIPS for printing by calling the Publications Branch at (301) 415-7166. The DFIPS saff will arrange to meet with the NRC contact for the project and, when appropriate, the author (s), to discuss the publication production requirements and the schedule for the book. (3)
Availability of Reference Materials (E)
The guidelines for availability of reference material given in Section G of Part III of this handbook also apply to books prepared by contractors and grantees that are published by NRC.
Approved: June 17,1991 (Revised: July 9,1995) 21
V:lume 3, Part 1 - Publicati:ns, Mail, and Inf:rmation Disclosure Unclassified Contractor and Grantee Publications in '.he NUREG Series Handbook 3.8 Part V Reviews (F)
Peer (1)
Books published by NRC must undergo peer review by experts within and outside NRC Peer resiew refers to a critical evaluation of the technical contents of a publication. These reviews may be conducted anonymously by reviewers from the author's own or a related field who are totally independent of the work leading to the manuscript. (a)
Reviewers should be chosen by the NRC office sponsoring the book from the potential audience for the publication and should proside an independent judgment about whether the publication successfully accomplishes the author's aims. Peer reviewers should be chosen for their expertise in the subject matter of the book. They may come from academia, the national laboratories, other Federal agencies, or from other research institutes or consulting firms. They may be identified from the membership rolls of professional societies, American National Standards Institute (ANSI) subcommittees, and the like. Do i
l not choose more than one reviewer from the same organization. (b)
When assessing potential peer reviewers, screen for demonstrated competence and achievement in a specific discipline or research specialty. Assess competence based on the quality of research accomplished, publications in refereed journals, and other significant technical activities, achievements, and honors. Consider the judgment, perspective, and objectivity of reviewers. Consider also the personal integrity of those selected to ensure the confidentiality of infonnation reviewed. Finally, avoid real or perceived conflicts of interest. Do not choose reviewers who are licensees or consultants to licensees, nor reviewers from intervenor groups. Likewise, do not choose reviewers who may profit financially from influencing the information reviewed. (c)
The services of reviewers from outside the agency may be acquired through consultant services contracts. The decision as to whether to reimburse peer reviewers should be made on a case-by-case basis, however Recognize that reimbursing peer reviewers may give the appearance of a conflict of interest, suggesting to some that because NRC is paying for this service, the agency will seek only resiewers thought to be favorably disposed to the material reviewed. One way to offset this impression is to seek recommendations for peer resiewers from independent organizations, such as the American Physics Approved: June 17,1991 22 (Revised: July 9,1995)
Volume 3, Pcrt 1 - Publications, Mall, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part \\}
Reviews (F)(continued)
Peer (1)(continued)
Society, the American Nuclear Society, the American Society of Mechanical Engineers, or appropriate universities. Reimbursement could then be made to the organization. (d)
Copyright (2)
Copyrighted material must not be repre,Juced in NRC books without appropriate authority, usually written permission of the copyright holder. See Section 3.4 of NUREG-0650, Revision 1, forinformation about obtaining copyright permission.
Security (3)
On the basis of the knowledge of the information sources used, the author is responsible for ensuring that the manuscript does not contain classi5ed or other access-controlled information. If uncertainty exists with respect to the security classification of a reference document or manuscript, an authorized classifier or the NRC Division of Security should be contacted for assistance. See also Management Directive 12.2, "NRC Classified Information Security Program."
Patent (4)
The patent review guidelines for draft and final formal reports speci5ed in Section (C)(1) of Part III of this handbook also apply to books prepared by contractors and grantees.
Publishing Authorization Form (G)
A completed NRC Form 426A (Exhibit 1), signed by the office director or designee or by a DOE national laboratory authorized official if the publication is prepared for the Office of Nuclear Regulatory Research, must be submitted to DFIPS with the book manuscript.
Disclaimers (a)
The following standard U.S. Government notice will be added before printing: (1)
Approved: June 17,1991 (Revised: July 9,1995) 23
Volume 3, Part 1 - Publications, Mail, and Information Disclasure Unclassified Contractor and Grantee Publications in the NUREG Series l
Handbook 3.8 Part V Disclainiers (n)(continued)
[his dossment was prepared as';sida a'ccount ofworkW6nsored i: by an agency;of the Unitedtstatss' Government.iNeither the f United StatesGoverniment;niwFaispAgency thereof/norany'of
~
tticir'insplayiss,niake5'anj Ehiniyiexprtsssdos;isa' pliedfor p[siisiaIinesiany!Iegal;11abilitg%:&iRussPWfoPjanyVthi ipart/sfidnr the resultsior sechfas of'AnylinforniatinN f apparnissl$reducQr pr'ocesi?dQaie@(in this doNinientfor
! supresents that its ussbyAch thiiii party;moulisst infringe krijneynedisNh@dMQjnl3fg&yfMagj2kyj The following additional statement may be printed below the standard disclaimer,if authorized by the NRC office director or designee: (2)
IThis deceEihibasirepirid~iihdeEt.SiNuhliAIRRiguGio'rf
~
l Commission!(NRC) Contract %NF 4%TheE6pidiovisp
!rmdings coic' tusions aiid nconunendations exprissed h'erein Parti ^thesisf thi!ahther'(sMisi adiiilit siecessariip"reflestlthej i
g g bftWNRC* "### *
'?*"
Iw.- % % - we b
- d. 10*UW %skSGa h AdN$$5deEa & M *diddUsindJ uss Other qualifying statements may be added, if needed. (3)
Printing 0)
DFIPS will submit book manuscripts to GPO for printing. The printing cycle requires from 6 to 8 weeks.
Distribution and Sales p)
The DFIPS staff will a nge distribution in accordance with distribution guidance provioed by the NRC project manager on NRC Form 426A (Exhibit 1). (1)
Free distribution should be limited to those who contributed materially to the book or to those for whom the book's subject matter' bears directly on their work at or for NRC. (2)
DFIPS will arrange to make the book available for sale through GPO.
DFIPS also will arrange to have it made available at the NRC PDR and for the GPO Federal Depository Library Program. (3)
Approved: June 17,1991 24 (Revised: July 9,1995)
l Volume 3, Part 1 - Publications, Mail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series llandbook 3.8 Part VI Part VI Grant Publications Background and Rationale (A)
The Nuclear Regulatory Commission funds grants for educational and nonprofit institutions, State and local governments, and professional societies for the expansion, exchange, and transfer of knowledge and ideas pursuant to the Atomic Energy Act of 1954, as amended, Sections 31.a and 141.b.
Publication of Results (B)
The grant will specify the publication requirements of the award.
Grant results may be published by NRC, by the grantee, or in the open literature.
Publication by NRC (1)
This publication option must be governed by the guidelines specified in Part III of this handbook for reports or in Part V of this handbook for books, as appropriate. See " Identification Information,"
Section (C) of this part.
Publication by a Grantee (2)
When the grant specifies that the grantee is to publish the results of his or her work, the grantee must grant to the Government a royalty-free, nonexclusive, irrevocable license to reproduce, translate, publish, use, and dispose of all copyrightable material first produced or composed in the grantee's performance under the grant.
Publication by a Grantee in the Open Literature (3)
When the grantee submits journal articles for publication, each article must be accompanied by the following statement: (a)
Approved: June 17,1991 (Revised: July 9,1995)
_= - _ ----
4 Volume 3, Port 1 - Publications, Mail; and Information Disclosure Unclassified Contn clor and Grantee Publications in the NUREG Series Handbook 3.8 Part VI Publication of Results.(s)(continued)
Publication by a Grantee in the Open Literature (3)(continued) ti
.W-w *vgw wpp mov a;&., - p p pg up a u-#.*wg 3 s
.v
.s ym.n te v fy-De submitted manuscript _has been authored by a grantee of
!the RS/Governmedt hader Grant nom
'.dAccoidingly,;
theU.S! Government hasfa nonexclusive, royalty 7 ree license to J f
- publish or'repadued time published form of this sentribution, Walkin/otliersis".d_dKfoir! U.S/Go.Wrnaient punoses.,
.eu--
-u.
All open literature publications prepared under this grant must contain the following statement: (b) e py, yggmngn n,7
- Tius paper was prepared with the support of the U.S. Nuclear
Regulatory Commission'(N RC) suder. Grant No.f
. The
!. opinions,"?! findings,Mconclusions,fandL recommendations lexpressedibereiniart[those of thelauthor(s)?and/dotnot--
! necessarily reflect the' views of the NRC. j'
~ '
aanh, m n
. am nw.~
If the grantee is requested by the journal or other publisher to transfer the copyright, the grantee author will respond to the journal or other publisher in writing in accord with the sample letter shown as follows:(c) n&r(Publisher's'Nameh"%yWlforisignaturpashigni Dea N m " F"&, M M
" " " ~'
W ccam +ngd i)VeitcentlyJeceFga document
'aml xtpubliV4iightsWthe submitted article (title) t((name"of publication).'/&lslitieslit affered inlisi of the documenfah Ameans
- of:cosapletingillie transfer;offownership.0AcSoirdinglyMwelhereby (expresslyltrasisfers $nd N aQ(ouffrightsli; off ownershipin Mhe swe~)G.. L' K . -
above citediworkE(iiaine sf blisher N
my w.a awn wq a
fpublied$odM repsblicEden of thEa%M assignmentgand Ndujarecadvised/howeverg
?;t
~
bove-cited workisls6bjest to'the
~
4d ifellNGovssifnent ristisigW04 W 1.y %a.
meg N eve a g h e g.gg $ N.,%
1 iThe submitted inanuscripthas been authored bya grantecatth'e U.S!
LGovernment:under GrantWo?P
' ' 4 Accordingly/thnRS.
0
[Goversatens hus!i noniscidsive; royalty-free licssss tejpublish or j repredsse the p6blish4d forsn hf this contiibutionj ersliow ottiers to
{doso[
SpGovErnmen(Murposes, gq
'" R
[4 EsAnu.s b J %
. m.
. ?Siriserely,b-Approved: June 17,1991 26 (Revised: July 9,1995)
V:lume 3, Part 1 - Publications, Mall, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part VI Publication of Results (n)(continued)
Reprints of Open Literature Publications (4)
When any article resulting from work under the grant is published in a scientific, technical, or professional journal, two reprints of the publication must be sent to the cognizant NRC program officer, clearly labeled with the grant number and other appropriate identifying information.
Identification Information (C)
Each report or book published by NRC that results from a grant must be identified by an alphanumeric number, "NUREG/GR-000,"
where "GR" indicates " grant report." (1)
When the publication consists of more than one volume, number, supplement, part, or binding, or is issued in more than one edition, an appropriate volume, supplement, part, or revision designation must appear below the NUREG/GR number. (2)
Numbers may be obtained from the Publications Branch at (301)415-7008.(3)
Pre-Publication Reviews (o)
The U.S. Congress characterizes the relationship between a Federal agency and a grant recipient as one in which "the recipient can expect to run the project withou agency collaboration, participation, or intervention as long as it is run in accordance with the terms of the instntment."
Approved: June 17,1991 (Revised: July 9,1995) 27
Volume 3, Part 1 - Publications, Mail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Glossary Glossary
- Book. Apublication intended as a permanent reference or textbook or as a major critical review of a technical or regulatory topic. It may be casebound (hardback) or paperbound.
Camera-Ready Copy. Pages ready for printing by the offset printing process. This is a colloquial term used even though the printing process may not involve the so-called copy camera (see also reproducible masters).
Casebound. Term denoting a book with a hard cover.
Compose. To arrange letters, in type or film, for printing. Usually synonymous with typesetting.
Composition. The process of setting type by hot-metal casting, phototypesetting, or electronic character generating devices (e.g.,
computers) for the purpose of producing camera-ready copy, negatives, a plate, or an image to be used in the production of printing or microform.
Contractor Report. Record of work done (a report) prepared in accordance with the provisions of a contract or under or pursuant to an interagency agreement.
Copyright. A form of protection provided by the laws of the United States (Title 17, U.S. Code), to the authors of " original works of authorship," including literary, dramatic, musical, artistic, and certain other intellectual works. This protection is available to both published and unpublished works. Generally, copyrighted material may not be reproduced without the permission of the author or the publisher.
Disseminate. To announce the publication of reports and make them available for free distribution, sale, or copying.
'Words in irdia in de5nitions are also de5ned in the glossary.
Approved: June 17,1991
'8 (Resised: July 9,1995)
Volutne 3, Part 1 - Publications, Mcil, tnd Information Disclosure Unclassified Coatractor and Grantee Publications in the NUREG Series Handbook 3.8 Glossarv Glossary (continued)
Distribution. Reports dispensed to specific organizations and individuals to ensure their participation in the regulatory process and support of research and technological investigations. Such distribution may be accomplished by the use of standard distribution lists established and maintained by the Division of l
Freedom of Information and Publications Senices at the request of the originating office or region.
Documentation. Classification and associated markings required for classified or sensitive unclassi6ed documents, the hPC report number unique to the report, title (and subtitle,if any), author or correspondent (if any), organization identification and contract number (or job code number), date, and availability.
Edition. All copies of a book printed from the same type. Edition also refers to format, such as paperback, casebound, or to the text, as revised, expanded, and so on. If extensive revisions have been made to the text and the book is reprinted, the revised version is the new edition.
Grant. A legalinstrument which defines the relationship between the Government and a recipient for the transfer of money, property, senices, or anything of value to the recipient for the accomplishment of a public purpose of support or stimulation authorized by law. A grant presumes a limited amount of involvement by the agency in the performance by the recipient.
Grant Report. Arecord of work done prepared in accordance with the provisions of the grant.
Index. An alphabetical list of all major topics discussed in a book. It cites the page numbers where each topic can be found.The indexis the last section of a book.
International Agreement. Cooperative nuclear safety research programs that involve either or both foreign governments and organizations and U.S. industry. Such involvement, authorized under 42 U.S.C. 5801, includes monetary contributions, information exchanges, and comments on program plans and results.
International Agreement Report. A record of work done prepared in accordance with the provisions of an intemational agreement.
Approved: June 17,1991 (Revised:.iuly 9,1995) 29
Wlutne 3, Part 1 - Publications, Mall, and Inform tion Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Glossary l
Glossary eno Manuscript. A handwruren, typenTacn. or composed version of a document, as distinguished frorn a prmted copy.
NRC Project Manager. The NRC staff member responsible for the work performed by consultants or contractors and their subcontractors, or for work performed under or pursuant to an interagency agreement. -
Paperback. Abook with a flexible paper cover.
Peer Review. A critical evaluation of the technical contents of a publication. These reviews are conducted by reviewers from the author's own or a related field who are totallyindependent of the work leading to the manuscript. Reviewers should be chosen from the potential audience for the publication and should proside an independent judgment about whether the publication successfully accomplishes the author's aims.
Photocomposition. Typesetting performed when photosensitive paper or film is exposed to light in the form of letters and characters.
Photocomposition is to be distinguished from hot-metal and typewriter composition.
Printing. As defined by the Joint Committee on Printing, includes and applies to the process of composition, platemaking, presswork, collating, and microform; the equipment used in such processes; or the end product produced by such processes and equipment.
Proprietary Information. Trade secrets; privileged or confidential resoarch, development, commercial, or financial information exempt from mandatory disclosure under 10 CFR Part 2 (Seetions 2.740 and 2.790) and under 10 CFR Part 9 (Section 9.17);
and other information submitted in confidence to the NRC by a foreign source and determined to be unclassi5ed by the NRC.
Public Domain. Materials for which a copyright never existed, such as U.S. Government publications, or for which a copyright has expired.
Publicly Available Documents. Information (reports and references) that is available in the NRC Public Document Room (PDR) for public inspection and copying or available in the public domain.
Approved: June 17,1991 30 (Revised: July 9,1995)
Vslume 3, Part 1 - Publications, Mail, at.d Infortnation Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Glossan-Glossary (continued)
Reproducible Masters. Camera-ready copy that includes (1) originals of line drawings (or prints that can be copied); (2) glossy prints of black and white photographs; (3) original typeset or printed text, tables, cover, title page, contents, and abstract; or (4) other forms of the materials that a printer can reproduce.
Trim Size. The final size of the whole page, margins included.
Typesetting. The placemcat of type on a page (letters, numbers, and other characters) in conformance with speci5c style and layout instructions.
Unique Identification. NRC identi5 cation (NUREG number) used on a report and its attachments, revisions, and supplements that is not used on any other publication.
l Approved: June 17,1991 (Revised: July 9,1995) 31
Wlume 3, Pcrt 1 - Publications, Mail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Exhibits Exhibit 1 NRC Form 426A, " Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports" m _..
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RELEASE TO PUEUSH UNCLASSinED NRC CONTRACTOR.
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Alternate Modal combination Methods in Response Spectrum Analysis
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(Revised: July 9,1995)
Wlume 3, Pcrt 1 - Publications, Mail, and Information Disclosure l
Unclassified Contractor and Grantee Publications in the NUREG Series l
Handbook 3.8 Exhibits Exhibit 2
-NRC Form 335, " Bibliographic Data Sheet" c,.g BIBUCCRAPHIC OATA SHEET
'Sa--~a"*--'"
HUREG/CR-5603
, riss.ao u r.'**
EGG-2607 Pressure-Dependent Fragilities for Piping Components :
a o.va.s.o.v.wous s o Pilot Study on Davis-Besse Nuclear Power Station
==='-
l 1990
- iaa October
- j',ag k AUT C.6s gg p p agpg D.A. Wesley T.R. Kipp D.K. Nakaki, H. Hadidi-Tamjed chnic A
1
.co cow
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.....o......-...-._._...._._..___.
XBV~S$1T"torporation Under contract to:
27401 Los Altos. Suite 480 Idaho National Engi eri Laboratory Mission Viejo, CA 92691 EGSG Idaho. Inc.
Idaho Falls. ID 8341 A
s
, m,,=........_.._.c y
Division of Safety issue Resolution Office of Nuclear Regulatory Research U.S. Regulatory Consnission
/
Washinaton. D.C. 20555 A
/
io. an.taassut v motas The capacities of four, low-pres re uid t.
to wi stand pressures and tempera-tures above the design lev wa es ishe for e Da s-Besse Nuclear 0 wer Stat-0 ion. The results will use n e alu 9t to ity of plant damage from Inter-facing System Loss of lant Ac e ts
)
part of the probab111stic risk as-sessment of the Davis-sse lear r t ton u ertaken by EG&G Idaho, Inc. In-cluded in this evaluatio are
- tanks, t
c ngers, filters, pumps, valves, and flanged connections for ea 5 sys The p bab ities of failure, as a fonction of in-ternal pressu evalua d as 1
s the variabilities associated with them. Leak rates or les reas esti ed fo the trolling modes of failure. The pressure capacities f pi and we els att evaluated using limit-state analyses for the various failu ac co ered. The c.apacities are dependent on several factors, in-cluding the ra ria pert
. mo 1)6g assumptions, and the postulated failure cri-teria. The fail re d
for9 ete5-flange connections, valves and pumps do not lend th to eva ati y conven onal structural mechanics techniques and evaluation l
rely rimaril on er 1
from ongoing gasket research test programs and avail-gle r informa on a test data.
I Lu6 OS/D
.510 3 it..
a.
si s a.ne =s press dependent rag i es iping com ts
..***"c-'^'a I erfaci Sy em Lc ss of Coolant Accidents (ISLOCA) pro
' st isk a'sessment Unclassified Davis-Bes uclea* Power Station "a=*
Unclassified
... o...u.
.....a Approved: June 17,1991 (Revised: July 9,1995) 33 l
V:lume 3, Part 1 - Publications, Mtil, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Exhibits Exhibit 2 (continued)
DO NOT PRINT THESE INSTRUCTIONS AS A PAGE IN THE NUREG REPORT INSTRUCTIONS NRC FORM 335. SISLIOGRAPHIC DATA SHEET. IS SASED ON CUIDELINES FOR FORMAT AND PRODUCTION OF SCIENTIFIC AND TECHNICAL REPORTC. ANS4 Z39.18-1987 AVAILABLE FROM AMERICAN NaflONAL STANDARDS INSTITUTE.1430 SROADWAY. Nf# YORK NY 10018. EACH SEPARATELY SOUND REPORT-FOR EXAMPLE. EACH VOLUME IN A MULTav0LUME SET.4 HALL HAVE ITS UNIQUE SIBUOGRAPHIC DATA SHEET.
- 1. REPORT NUMetR. Earh indevedueth bound report must
- 8. PERFCpteltoC ORCANIZATION NAME AND MA4 LING oorry a esn6sise eiphaesmetic eenspietaan 'NUREGI amargned ADORESS. Give none. street, cry. stem, and ZIP scuse.
try the Requietary Pubucatiore prench. Divison of Freedern List no enere then two tewels of an orynitetional heererthy.
of informsten and Puhncetione Serosos, in accoremse wrth Demploy the none of the organannten exocaly se foltavus:
Aaerioen Nedenef Suresord ANSI 239.23-1983 Standerd Ow'een. Offen Crysnuation or Govvemwnt oorney. and eachnasal Report Number (ST7pil, use uopertume artiers.
addrone.
Archie numersia. slashes, mW evypterve onty, se in tow tonow.
6ne osamphe; NUREG4100. NUREG/CP4010. NUREG/
- 9. SPONSORlWQ ORGANIZATION. If NRC. Type "Same es CR4100, and NUREG/DR401(L For reports m o sersee add etsowe"; if contractor, prownse NRC Drvuson. Offee or Regeon.
Vol., Sep., Rev and Adeondurg when necewery. Aad UA Nuctuer Regulatory corren6smon. emd mailens nedress.
contreeter crammesference keentifcatan numter (if anyl Delow NUMEG.sertse numter. e.3, PNL XXXX. SANOXX.
- 10. SUPPLEMENTARY NOTES. Enwr inlormotion not inetuded XXXX. sal XXXL eterwrere but umful. such es: Prepared in cooorrateon with...
Proerneed at caneerence of... To be sn4Hahad... Docket No.
- 2. TITLE AND SUSTITLE. Title should indacew steerty and briefly the addect (coverseel of the report; insfudine amy a4 title to the masa thie. Wien a reoart is procerod in more j
than one velisme, repeet the primary titse, susd vehme number
- 11. ASSTRACT, include a bret (200 words se lesel factual esm.
end Indude medde ear the Wk voeurne. Une upper are mary of the rnoet sep4facant informatson contained si the case netwet. but caNase mnpute code narnes. Do report if the report containe e significant t asisoerechy or not name acronyme end inetialisme bi enses; moy be andre en 4.tereeste marvey or muttaple voeurros, muntson 6t tere. Abstract Derenthesik b W premmed by outrust or m trerwest.
- 12. KEY VuORDS/DESCRIPTORS. Select fran the Energy Data lL DATE REPORT PUBUSHED. Each resort must carry a new Same Sundect Thesaurus. DOE / TIC.700R R4. the proper trascessne month are year pubashed.
autharteed wrwu that edentify the ma or concept of the e
remuerth aid ese naticently saeciras and presses to tse used
- 4. FIN OR GRANT *ame'8R. Insert the FIN or yent number 12, AVAILAS4WTY STATEMENT. Denose public rensesetMsty, for esenpee uMemind". or Ismetanon for reaves otner a
- 5. AUTh0RIS). Give nerne(s) in conventional oroer (e.g., John than soeunty.
/
R. Doe. A Retiset Deel uit mather's a tination if it h diner-r ent from the perform 6ng orgonnastion.
- 14. SECURITY CLASSIFICATION. Enter U.S. Secunty Class lb cenon in encordense with U.S. Security Regutanons tie..
E. TYPE OF REPORT. Stees dren. finet, preitmenery. topecat.
technasel. nos W annual, earwety, m.
1S. NUh0SER OP PAGES. Leone teenk. (Added by NTIS)
- 7. PERlOO COVERED. Asadincksave deses.
- 16. PRICE. Lasse t4ank. IAdssed try NTIS) u.-s.-.
e es.
e -.
Approved: June 17,1991 34 (Revised: July 9,1995)
l Volume 3, Part 1 - Publications, Mail, and Information Disclosure l
Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Exhibits l
Exhibit 3 i
Microfiche Sheet Sample cy orscaimow or uncnoriens rusu Tion A,Tr 9,
)
CONTRACTOR MAME
)
V
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4
/
/
EEEEE EE x
/
Approved: June 17,1991 (Revised: July 9,1995) 35
,1 m L ocitiherit ACH VENDORlMISCELLANEOUS PAYMENT cesnois mov ENROLLMENT FORM This form is used for Automated Clearing House (ACH) payments with an addendum record that conteins payment-related information processed through the Vendor Express Program. Recipients of these payments should bnng this information to the attention of their financialinstitubon when presenbng this form for complebon.
PRIVACY ACT STATEMENT I
l The following information is provided to comply with the Privacy Act of 1974 (P.L. 93 579). All information collected on this form is required under the provisions of 31 U.S.C. 3322 and 31 CFR 210.
This information will be used by the Treasury Department to trensmit payment data, by electronic means, to vendor's financial institution. Failure to provide the iequested information may delay or I
prevent the receipt of payments through the Automated Cleanng House Payment System.
1 AGENCY INFORMATION iE6WE60issAsiiiCy
~ ~ ~
U.S. NUCLEAR REGULATORY COMMIS$10N AGENCY IDEVftiEM AGENCY LOCAftud CODE iALC)
Aces PCAMAT I
NRC 31000001 O CCo.
O CTx 0 CTP AbDRE$$
l DIVISION OF ACCOUNTING AND FINANCE, MAIL CTOP T.9 H4
'e fWASHINGTON, DC 20555-0001,
' CONTACT PER$0N NAME i TELEPHONE NUMBER 3
lFINANClAL OPERATIONS SECTION
!( 301 ) 415 7520 i
FAYEE/ COMPANY INFORMATION NAME
l ADDRESS i
a CONTACT PERSON NAME:
TELEPHONE NUMBER
(
)
~
l FINANCIAL INSTITUTION INFORMATlON i"*""
ADDRESS ACH COORDINATOR NAME:
ITELEPHONE NUMBER l(
)
hE DIGIT FOUTING TRANSIT NUMBER DEPOSITOR ACCOUNT TITLE:
DEPO $1 TOR ACCOUNT NUMBER I LOCK BOX NUMBER.
! ACH FORhMT:
[ CHP?e(ING
] SAVINGS
[ LOCK BOK SiONATURE AND TITLE OF A JTHORIZED OFFICIAL:
! TELEPHONE NUMBER
1 Instructions for Completing SF 3881 Form
- 1. Agency Information Section - Federal agency prints or types the name and address of the Federal Program agency originating the vendor /miscellanoeus payment, agency identifier, agency location code, contact person name and telephone number of the agency. Also, the appropriate box for ACH format is checked.
- 2. Payee / Company information Section.. Payee prints or types the name of the payee / company and address that will receive ACH vendor / miscellaneous payments, social security or taxpayer ID number, and contact person name and telephone number of the payee / company Payee also verifies depositor account number, account title, and type of account entered by your financial institution in the Financial Institution information Section.
t
- 3. Financial Institution Information Section - Financial institution prints or types the name and
. address of the payee / company's financialinstitution who will receive the ACH payment, ACH coordinator name and telephone number, nine. digit rouung transit number, depositor (payee / company) account title and account number. Also, the box for type of account is checked, and the signature, title, and telephone number of the appropriate financial institution official are included, i
Burden Estimate Statemen?
The estimated average burden associated with this collection of Information is 15 minutes per respondent or record keeper, depending on individual circumstances. Comments concoming the accuracy of this burden estimate and sugge:tions for rottucing this burden should be directed to the Financial Management Service, Facilities Management Division, Property and Supply Branch, Room B 101,3700 East West Highway, Hyattsville, MD 20782, and the Office of Management and Budget, Paperwork Reduction Project (1510 0056), Washington, DC 20503.
A%acMent 5 PROCEDURES FOR RESOLVING NRC CONTRACTOR DIFFERING
(
PRor"SSIONAL VIEWS The Nuclear Regula: cry 0:mmissien's. NR O po;.:y ps *: supp:r the expression of profess :nal hea;:n and safety re.a:ed :encerns asso :ated with tne 00ntra::Or's w rk f:r NRO na- -ay differ.r:-
a prevailing s:aff view, an NRO de:: sten or pol::y pcs:*::n.
pr: posed or estaclisned agen:y pra::1:es Or sim.ar cons:derattens.
The f:1;;w;ng pr:cedure prev: des f:r One expression and resolu::en f dif fer:ng profess:ena; views QFVs of health and safety re;ated :encerns of NRC contractors an:
contractor personnel on mat:ers connected to the suo;ee: Of One contract.
The NRC may autnerize up to eight reimbursab;e hours for the contractor to document in wr :ing a DPV by the contrae:Or,
- he contractor's personne;. Or succontractor personnel.
Subcontractor DPVs shal; be suomi::ed through the prime contractor. The prime ren:ra::Or :r succen: rte:Or shall sub-:: al'.
t' DPV's received bu. need not encerse tnem. *n the event suff:::cn funds are n : avat;acle under :ne ::ntra::. the :entra::Or sna..
i.
firs
- a;n au n=rt:a:::n tr:- :ne ::ntrae:ing Off:ce Fr:Y; ding suff ::en: funds :: :ever :ne ::s: :f preparing :ne OPV.
W *n
~e excep:::n :f :ne ac:ve spe::f;e: paymen; f:: e:gn: nours worn :n A
?;V. the ::n:rae::r sna;. n:: ce en:::.ed :: any addi ::na.
- mpensatien Or add::::na;.:rs.n=er ::s : ntra:: by virture :f
- ne PV sucm:ss :n.
Con:rae: funds sna;'. ne: ce au:n r;:ed :: document an a;'ega:::n in :ne fo;;ow;ng ;nstan:es wnere :ne use Of this NRC :entra:::r OPV precess is :nappr:pr: ate.
Th;s pre:ess shall ng; be used for allega:: ens Of wrongs ;ng wh;:n sneuid ce addressed dire::.y i
to :ne NRO Offi:e Of na: :nspe:::r 3:nera; f0IG); issues sucm ::ed anenvmous'_v; :ssues :na: are deemed by NRC to ce fr:velous er otherwise n:: :n a:::rdance with the-policy underly:ng :hese pro:edures; Or ;ssues ra sed which have a' ready been ::ns;dered, addressed. Or re:e::ed, aosen; sign;ft:an: new inf:rmat;:n._ Note :na
- n;s pr::edure does ag; provide anonymity. :ndividua'.s des;r:ng anenv-itv should contac
- ne NRC Off;;e of the :nspe :;r Gene C.
Or suom:0 the informat;:n under -NRO's A;' ega:::n F r: gram, as appr:priate.
Eaer. OPV snail ce sucm;;;ed ;n wr;;;ng and w;11 be evalua ed :n
- s own merits.
DPV PROCEDURE When required, the centra : r sna'.'.
- n;;; ate the DPV process by suom ::ing a written statemen; d:ree:iy to the NRC Office 0 rector or Reglenal Administrater respone ble for the contract, w::h a copy to the Centra:::ng Off;:er, Oivision f contracts, office of Administra: Lon.
PROCEDURES FOR RESOLVING NRC CONTRACTOR DIFFERING PROFESSIONAL
\\
1
...... o. c.. J,,.
.t.
VIEWS Ohe OPV, while ce:ng crief, sna.'. ::n: air. :ne f:;;; wins as.:
relates :: :ne sub]e:: ma::er of :ne ::n:ra::: &L ;*:14 a summary of the preva;;;ng NRO view, exts :ng NRC dec:s n Or s:ated posa:::n, Or the pr:p; sed r estac;:sned NRO prae:::e.
a descr:p:len of the suc :::er's views and how :ney differ from any of tne acove :: ems.
the rationale for the sucm:::er's views, including an assessment based on risk, safety and cost benefit considerations of the consequences should the sucm ::er's position not be adopted by NRC.
l The office Direc:Or or Regional Administrator will ;mmediately forware ne suom ::a; :: the MRO.PV eview Panel and ackr wicdpe rece:p Of :ne OPV. Ordinar.y a::n ng f ve 5; :alendar days :f re e:pt.
The pane; w:11 normal'y rev;ew :ne OPY w :n n seven :a;andar days Of receip
- determ;r.e wne:ner enougn nformation has been supp; ed :: under:a<e a de:a '.es rev ew cf :ne issue.
Typ :a**y.
w :hin 30 calendar days :f re:e:p: Of :ne necessary informa:: n ::
beg:n a review. :ne pane; w ;' provide a writ:en report of ::s find :.gs 0 the Off; e 0 re:::r er Reglena; Administrator and ::
the Centract:ng Off :er, wn;:n :ne'udes a recommended course of action.
The Office Oire::Or r Reg :na'. Administra:Or will consider the DPV Review Panel's rep:rt, maxe a de:: sten on the DPV and provide a written dects n :c :ne :entra:::r and the Contracting Officer normally w :nin seven ca:nndar days after receipt of the panel's recommendat;en, subsequen: 10 :ne de::s :n ade regarding the DPV Review Fanel's report, a summar" of ne issue and
- s disposition will be include" in the NRC e
3.' y : nt'::.nn ;;:- Reper submitted c the Office 0; rec Or.
The OPV f;;e w;;'. be retained in the Office er Region for a minimum Of :ne year :nereafter.
For purposes Of ne contract, the DPV snal' ce :ensidered a deliverable under the contract.
Based upon the Off;;e Director or Regional Administrator's report.
ne atter w:11 be closed.